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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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APER 4.4 Statement of Principle 4

As Published: 2015

APER 4.4 Statement of Principle 4

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MAR 1.3 Insider dealing

As Published: 2005

MAR 1.3 Insider dealing

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LR 3.4 Debt and other securities

As Published: 2007

LR 3.4 Debt and other securities

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MCOB 4.7A Advised sales

As Published: 2012

MCOB 4.7A Advised sales

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PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

As Published: 2005

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

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PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance

As Published: 2018

PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance

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REC 4.2C Control over a UK RIE

As Published: 2007

REC 4.2C Control over a UK RIE

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COBS 14.2 Providing product information to clients

COBS 16.6 Communications to clients – life insurance, long term care insurance and drawdown pensions

COBS 8.1 Client agreements: non-MiFID designated investment business

COBS 16.2 Occasional reporting

COBS 15.5 Special situations

COBS 10.1 Application

SUP 10A.15 References and accurate information

REC 2.16 Complaints

DTR 2.2 Disclosure of inside information

LR 14.2 Requirements for listing

PERG 8.5 In the course of business

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