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

…

SUP App 2.1 Application

As Published: 2004

SUP App 2.1 Application

…

APER 1.2 Purpose

As Published: 2007

APER 1.2 Purpose

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

DTR 2.2 Disclosure of inside information

PERG 8.5 In the course of business

REC 2.7 Access to facilities

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

EG 10.4 Other relevant powers

RCB 3.3 Asset pool notifications

PERG 5.15 Illustrative tables

SUP 11.3 Requirements on controllers or proposed controllers under the Act

CONC 2.6 Conduct of business: debt counselling, debt adjusting and providing credit information services

IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A PERSONAL INVESTMENT FIRM

DEPP 6.4 Financial penalty or public censure

PERG 8.6 Communicate

REC 3.25 Significant breaches of rules and disorderly trading conditions

GENPRU 3.1 Application

SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative

COBS 16.3 Periodic reporting

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

SUP App 2.1 Application

APER 1.2 Purpose