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

…

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

As Published: 2010

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

…

SUP 8.3 Applying for a waiver

As Published: 2002

SUP 8.3 Applying for a waiver

…

SUP 9.1 Application and purpose

As Published: 2001

SUP 9.1 Application and purpose

…

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

As Published: 2013

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

…

FEES 4.2 Obligation to pay periodic fees

As Published: 2006

FEES 4.2 Obligation to pay periodic fees

…

EG 7.5 Payment of financial penalties

As Published: 2016

EG 7.5 Payment of financial penalties

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

MCOB 5A.3 Information on MCD regulated mortgage contracts: general

DTR 5.4 Aggregation of managed holdings

MCOB 5.4 Information on regulated mortgage contracts: general

DEPP 5.1 Settlement decision makers

COLL 5.3 Derivative exposure

LR 3.3 Shares

DTR 7.1 Audit committees

CASS 7A.2 Primary pooling events

EG 5.3 The basis of settlement discussions

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

PERG 5.12 Link between activities and the United Kingdom

SUP 16.12 Integrated Regulatory Reporting

DEPP 6.5D Serious financial hardship

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