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

…

MAR 10.4 Position reporting

As Published: 2017

MAR 10.4 Position reporting

…

SUP 10C.15 Forms and other documents and how to submit them to the FCA

As Published: 2015

SUP 10C.15 Forms and other documents and how to submit them to the FCA

…

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

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SYSC 19D.1 Application and purpose

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

SUP 10C.1 Application

MAR 5.3A Systems and controls for algorithmic trading

FEES 2.2 Late Payments and Recovery of Unpaid Fees

MAR 5A.5 Systems and controls for algorithmic trading

REC 2.4A Management body

COBS 11.6 Use of dealing commission [deleted]

RCB 3.3 Asset pool notifications

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

SUP 3.6 Firms' cooperation with their auditors

SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order

PERG 2.5 Investments and activities: general

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

REC 3.14 Products, services and normal hours of operation

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