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

…

MAR 10.4 Position reporting

As Published: 2017

MAR 10.4 Position reporting

…

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

…

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

…

LR 5.2 Cancelling listing

As Published: 2007

LR 5.2 Cancelling listing

…

SYSC 4.5

As Published: 2015

SYSC 4.5

…

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

As Published: 2006

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

REC 2.4A Management body

GEN 4.3 Letter disclosure

COBS 11.6 Use of dealing commission [deleted]

RCB 3.3 Asset pool notifications

SUP 3.6 Firms' cooperation with their auditors

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

PERG 2.5 Investments and activities: general

LR 5.4A Transfer between listing categories

REC 3.4 Members of the management body and internal organisation

REC 3.14 Products, services and normal hours of operation

GENPRU 3.1 Application

SUP 17A.2 Connectivity with FCA systems

LR 3.3 Shares

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