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 12.1 The FCA’s general approach

As Published: 2016

EG 12.1 The FCA’s general approach

…

COLL 4.3 Approvals and notifications

As Published: 2006

COLL 4.3 Approvals and notifications

…

APER 1.1A Application

As Published: 2015

APER 1.1A Application

…

DTR 4.1 Annual financial report

As Published: 2006

DTR 4.1 Annual financial report

…

CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

…

GEN 5.1 Application and purpose

As Published: 2003

GEN 5.1 Application and purpose

…

COBS 6.1A Adviser charging and remuneration

As Published: 2010

COBS 6.1A Adviser charging and remuneration

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

EG 10.4 Other relevant powers

DTR 5.4 Aggregation of managed holdings

EG 19.3 Credit Unions Act 1979 (CUA79) and Credit Unions (Northern Ireland) Order 1985 (CU(NI)O85)

SUP 16.7A Annual report and accounts

SUP 8.2 Introduction

COLL 2.1 Authorised fund applications

PERG 2.4 Link between activities and the United Kingdom

COND 1.2 Purpose

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

SUP 11.5 Notifications by firms

PERG 8.6 Communicate

APER 3.1 Introduction

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