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

…

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

As Published: 2016

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

…

DEPP 1.1 Application and Purpose

As Published: 2007

DEPP 1.1 Application and Purpose

…

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

As Published: 2016

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

…

PERG 8.4 Invitation or inducement

As Published: 2005

PERG 8.4 Invitation or inducement

…

SUP 7.1 Application and purpose

As Published: 2010

SUP 7.1 Application and purpose

…

COLL 8.5 Powers and responsibilities

As Published: 2006

COLL 8.5 Powers and responsibilities

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

MAR 5A.5 Systems and controls for algorithmic trading

RCB 2.3 Determination of registration

REC 2.7 Access to facilities

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

REC 6.7 Notification rules for overseas recognised bodies

REC 4.8 The section 298 procedure

SUP 4.2 Purpose

REC 2.4 Suitability

DTR 8.4 Continuing obligations

ICOBS 1.1 The general application rule

SUP 12.1 Application and purpose

COND 2.3 Effective supervision

EG 7.6 Private warnings

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