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 9.7 The investment condition: the 'reasonable investor'

As Published: 2005

PERG 9.7 The investment condition: the 'reasonable investor'

…

BIPRU 8.3 Scope and basic consolidation requirements for non-UK sub-groups

As Published: 2006

BIPRU 8.3 Scope and basic consolidation requirements for non-UK sub-groups

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

MCOB 4.4A Initial disclosure requirements

COND 2.3 Effective supervision

SUP 16.18 AIFMD reporting

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

REC 4.2B Exercise of passport rights by a UK RIE [deleted]

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

REC 4.5 FCA supervision of action by UK RIEs under their default rules

CASS 8.3 Records and internal controls

REC 6.7 Notification rules for overseas recognised bodies

PERG 13.5 Exemptions from MiFID

PERG 10.5 Employers and affinity groups (such as trade unions)

CASS 7.15 Records, accounts and reconciliations

SYSC 4 Annex 1

REC 3.26 Proposals to make regulatory provision

SUP 10C.8 The other local responsibility function (SMF22)

PERG 2.11 Persons who are exempt for credit-related regulated activities

PERG 16.6 Exclusions

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 9.7 The investment condition: the 'reasonable investor'

BIPRU 8.3 Scope and basic consolidation requirements for non-UK sub-groups