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

…

SUP 10C.15 Forms and other documents and how to submit them to the FCA

As Published: 2015

SUP 10C.15 Forms and other documents and how to submit them to the FCA

…

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

As Published: 2013

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

…

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

…

REC 3.3 Waivers

As Published: 2013

REC 3.3 Waivers

…

CASS 6.1 Application

As Published: 2007

CASS 6.1 Application

…

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

As Published: 2007

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

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

LR 3.3 Shares

APER 4.2 Statement of Principle 2

EG 19.28 Legal Aid, Sentencing and Punishment of Offenders Act 2012 (Referral Fees) Regulations 2013

MIPRU 4.2 Capital resources requirements

MIPRU 4.2F Exposures and risk weights

GENPRU 2.1 Calculation of capital resources requirements

BIPRU 9.12 Calculation of risk-weighted exposure amounts under the IRB approach

SUP 3.3 Appointment of auditors

EG 19.23 Electronic Money Regulations 2011

SUP App 3.3 Background

PERG 5.1 Application and purpose

REC 6.6 Supervision

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

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