Search Result

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

…

PERG 8.11 Types of exemption under the Financial Promotion Order

As Published: 2005

PERG 8.11 Types of exemption under the Financial Promotion Order

…

SUP 5.1 Application and purpose

As Published: 2001

SUP 5.1 Application and purpose

…

SYSC 10.1 Application

As Published: 2006

SYSC 10.1 Application

…

PERG 16.4 Acting as a depositary of an AIF

As Published: 2019

PERG 16.4 Acting as a depositary of an AIF

…

PERG 8.3 Financial promotion

As Published: 2005

PERG 8.3 Financial promotion

…

CREDS 8.3 Approved persons

As Published: 2012

CREDS 8.3 Approved persons

…

COLL 8.6 Termination, suspension, and schemes of arrangement

As Published: 2008

COLL 8.6 Termination, suspension, and schemes of arrangement

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COBS 4.12 [deleted]

REC 3.26 Proposals to make regulatory provision

SUP 10C.9 Minimising overlap with the PRA approved persons regime

PERG 4.2 Introduction

DTR 1.4 Suspension of trading

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

PERG 9.4 Collective investment scheme (section 235 of the Act)

ICOBS 1.1 The general application rule

SUP 11.8 Changes in the circumstances of existing controllers

EG 1.1 Overview

SUP 15.2 Purpose

SYSC 10A.1 Application

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy