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

…

PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)

As Published: 2005

PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)

…

APER 4.4 Statement of Principle 4

As Published: 2015

APER 4.4 Statement of Principle 4

…

CASS 7A.3 Secondary pooling events

As Published: 2010

CASS 7A.3 Secondary pooling events

…

REC 6.6 Supervision

As Published: 2013

REC 6.6 Supervision

…

MCOB 4.7A Advised sales

As Published: 2012

MCOB 4.7A Advised sales

…

SUP 3.4 Auditors' qualifications

As Published: 2007

SUP 3.4 Auditors' qualifications

…

EG 19.35 Data Reporting Services Regulations 2024

As Published: 2017

EG 19.35 Data Reporting Services Regulations 2024

…

COCON 1.1 Application

As Published: 2015

COCON 1.1 Application

…

SYSC 22.6 Giving and updating references: additional rules and guidance

As Published: 2016

SYSC 22.6 Giving and updating references: additional rules and guidance

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

MAR 10.2 Position limit requirements

GEN 4.3 Letter disclosure

SYSC 6.3 Financial crime

ICOBS 6.1 Providing product information to customers: general

RCB 2.2 Applying for registration

GEN 2.2 Interpreting the Handbook

CONC 4.2 Pre-contract disclosure and adequate explanations

PRIN 1.2 Clients and the Principles

FEES 9.2 PSR fees

CASS 6.2 Holding of client assets

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