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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

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BIPRU 11.3 Disclosures: Information to be disclosed; Frequency, media and location of disclosures; Verification

As Published: 2007

BIPRU 11.3 Disclosures: Information to be disclosed; Frequency, media and location of disclosures; Verification

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EG 12.1 The FCA’s general approach

As Published: 2016

EG 12.1 The FCA’s general approach

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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

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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)

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Similar To

COBS 11.6 Use of dealing commission [deleted]

EG 10.4 Other relevant powers

DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?

BIPRU 7.4 Commodity PRR

REC 2A.3 Guidance on RAP recognition requirements

COLL 5.3 Derivative exposure

PERG 8.5 In the course of business

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

PERG 8.6 Communicate

APER 3.1 Introduction

EG 7.6 Private warnings

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 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

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