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

…

EG 12.1 The FCA’s general approach

As Published: 2016

EG 12.1 The FCA’s general approach

…

APER 4.4 Statement of Principle 4

As Published: 2015

APER 4.4 Statement of Principle 4

…

LR 12.6 Treasury shares

As Published: 2007

LR 12.6 Treasury shares

…

REC 4.2D Suspension and removal of financial instruments from trading by the FCA

As Published: 2007

REC 4.2D Suspension and removal of financial instruments from trading by 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

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

CONC 5A.4 Cost cap for operating an electronic system in relation to lending

COLL 11.4 Depositaries

PERG 9.1 Application and Purpose

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

EG 11.3 The FCA’s choice of powers

PERG 7.5 When is it appropriate to apply for a certificate?

MAR 5.3 Trading process requirements

COLL 7.2 Suspension and restart of dealings

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

REC 3.4 Members of the management body and internal organisation

SUP 17A.2 Connectivity with FCA systems

LR 15.3 Listing applications and procedures

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

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

EG 12.1 The FCA’s general approach

APER 4.4 Statement of Principle 4

LR 12.6 Treasury shares

REC 4.2D Suspension and removal of financial instruments from trading by the FCA

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