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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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SUP 10C.11 Statements of responsibilities

As Published: 2015

SUP 10C.11 Statements of responsibilities

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SUP 5.4 Appointment and reporting process

As Published: 2016

SUP 5.4 Appointment and reporting process

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DTR 5.1 Notification of the acquisition or disposal of major shareholdings

As Published: 2006

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

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EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

As Published: 2016

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

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COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

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DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

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Similar To

EG 3.7 Investigations to assist overseas authorities (section 169)

DTR 8.5 Supervision of primary information providers

PERG 8.12 Exemptions applying to all controlled activities

REC 2.15 Discipline

EG 3.4 Investigations into general and specific concerns (sections 167 and 168)

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

DTR 8.4 Continuing obligations

SUP 5.3 Policy on the use of skilled persons

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

FIT 1.3 Assessing fitness and propriety

SYSC 9.1 General rules on record-keeping

SYSC 4.2 Persons who effectively direct the business

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

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