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

…

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

…

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

As Published: 2005

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

PERG 9.10 Significance of being an open-ended investment company

PRIN 2.1 The Principles

SUP 10C.1 Application

SUP 3.7 Notification of matters raised by auditor

SUP 3.5 Auditors' independence

DEPP 2.4 Third party rights and access to FCA material

ICOBS 8.2 Motor vehicle liability insurers

PERG 15.4 Small payment institutions, agents and exempt bodies

INSPRU 1.2 Mathematical reserves

SUP 10A.15 References and accurate information

DTR 2.2 Disclosure of inside information

COLL 6.3 Valuation and pricing

PERG 8.5 In the course of business

REC 2.7 Access to facilities

SUP 17A.2 Connectivity with FCA systems

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

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

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)