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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

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EG 12.1 The FCA’s general approach

As Published: 2016

EG 12.1 The FCA’s general approach

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FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

As Published: 2012

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

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SYSC 4.5

As Published: 2015

SYSC 4.5

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REC 4.7 The section 297 power to revoke recognition

As Published: 2007

REC 4.7 The section 297 power to revoke recognition

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DEPP 6.5D Serious financial hardship

As Published: 2010

DEPP 6.5D Serious financial hardship

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DEPP 8.2 Use of the own-initiative variation of approval power: general

As Published: 2015

DEPP 8.2 Use of the own-initiative variation of approval power: general

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Similar To

SYSC 22.7 Getting references: additional rules and guidance for SMCR firms

DTR 6.3 Dissemination of information

PERG 9.10 Significance of being an open-ended investment company

CONC 7.18 Notice of sums in arrears under P2P agreements for running-account credit

APER 2.1A The Statements of Principle

CASS 9.4 Information to clients concerning custody assets and client money

CASS 9.5 Reporting to clients on request

PERG 8.6 Communicate

COND 2.5 Suitability

GENPRU 3.1 Application

SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative

SUP 1A.3 The FCA's approach to supervision

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

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