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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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MAR 10.4 Position reporting

As Published: 2017

MAR 10.4 Position reporting

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EG 9.8 The effect of the FCA's decision to make a prohibition order

As Published: 2016

EG 9.8 The effect of the FCA's decision to make a prohibition order

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COBS 2.4 Agent as client and reliance on others

As Published: 2007

COBS 2.4 Agent as client and reliance on others

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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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Similar To

SYSC 5.1 Skills, knowledge and expertise

SYSC 13.9 Outsourcing

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

MAR 5.3A Systems and controls for algorithmic trading

FEES 2.2 Late Payments and Recovery of Unpaid Fees

LR 1.4 Miscellaneous

MAR 5A.5 Systems and controls for algorithmic trading

TC 2.1 Assessing and maintaining competence

COBS 11.6 Use of dealing commission [deleted]

RCB 3.3 Asset pool notifications

SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order

SUP 16.15 Reporting under the Electronic Money Regulations

DISP 1.3 Complaints handling rules

LR 3.3 Shares

EG 4.1 Notifying the person under investigation where notice is a requirement under section 170

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

MAR 10.4 Position reporting

EG 9.8 The effect of the FCA's decision to make a prohibition order

COBS 2.4 Agent as client and reliance on others

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