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

…

MCOB 8.3 Application of rules in MCOB 4

As Published: 2004

MCOB 8.3 Application of rules in MCOB 4

…

COBS 16.2 Occasional reporting

As Published: 2007

COBS 16.2 Occasional reporting

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

LR 18.2 Requirements for listing

REC 2.2 Method of satisfying the recognition requirements

SUP 16.6 Compliance reports

BIPRU 8.6 Consolidated capital resources

CONC App 1.4 Exemption for high net worth borrowers and hirers and exemption relating to businesses

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

SUP App 3.2 Purpose

REC 3.26 Proposals to make regulatory provision

CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank

PERG 8.24 Advising on investments

BIPRU 2.1 Solo consolidation

FEES 6.1 Application

COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)

BIPRU 13.3 Calculation of exposure values for financial derivatives and long settlement transactions: General provisions

PERG 8.25 Advice must relate to an investment which is a security or contractually based investment

COLL 11.4 Depositaries

PERG 10.2 General issues

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

MCOB 8.3 Application of rules in MCOB 4

COBS 16.2 Occasional reporting