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

…

CONC 14.1 Application

As Published: 2014

CONC 14.1 Application

…

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

…

MAR 9.5 Frequently Asked Questions

As Published: 2017

MAR 9.5 Frequently Asked Questions

…

LR 5.2 Cancelling listing

As Published: 2007

LR 5.2 Cancelling listing

…

MAR 10.5 Other reporting, notifications and information requirements

As Published: 2017

MAR 10.5 Other reporting, notifications and information requirements

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

REC 3.17 Inability to discharge regulatory functions

CASS 6.7 Treatment of custody assets after a failure

DTR 2.2 Disclosure of inside information

FEES 5.8 Joining the Financial Ombudsman Service

MAR 1.6 Manipulating transactions

DISP App 3.6 Determining the effect of a breach or failing at step 1

PERG 7.2 Introduction

COBS 16.3 Periodic reporting

BIPRU 9.9 Calculation of risk-weighted exposure amounts for securitisation positions

CASS 10.2 Core content requirements

FEES 6.4 Management expenses

LR 5.4A Transfer between listing categories

REC 3.4 Members of the management body and internal organisation

SUP 17A.2 Connectivity with FCA systems

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