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 15.6 Territorial scope

As Published: 2013

PERG 15.6 Territorial scope

…

CASS 7.11 Treatment of client money

As Published: 2014

CASS 7.11 Treatment of client money

…

SUP 16.15 Reporting under the Electronic Money Regulations

As Published: 2011

SUP 16.15 Reporting under the Electronic Money Regulations

…

FEES 6.7 Payment of levies

As Published: 2008

FEES 6.7 Payment of levies

…

PERG 5.2 Introduction

As Published: 2005

PERG 5.2 Introduction

…

BIPRU 8.2 Scope and basic consolidation requirements for UK consolidation groups

As Published: 2007

BIPRU 8.2 Scope and basic consolidation requirements for UK consolidation groups

…

GEN 4.1 Application

As Published: 2003

GEN 4.1 Application

…

BIPRU 1.2 Definition of the trading book

As Published: 2010

BIPRU 1.2 Definition of the trading book

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

BIPRU 4.6 The IRB approach: Retail exposures

MCOB 1.2 General application: who? what?

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

LR 9.6 Notifications

REC 3.5 Disciplinary action and events relating to members of the management body

REC 4.7 The section 297 power to revoke recognition

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

LR 8.3 Role of a sponsor: general

MAR 5.3A Systems and controls for algorithmic trading

MAR 5A.5 Systems and controls for algorithmic trading

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