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 6.3 Background

As Published: 2005

PERG 6.3 Background

…

BIPRU 7.8 Securities underwriting

As Published: 2018

BIPRU 7.8 Securities underwriting

…

PERG 9.7 The investment condition: the 'reasonable investor'

As Published: 2005

PERG 9.7 The investment condition: the 'reasonable investor'

…

MAR 9.3 Notification and information

As Published: 2017

MAR 9.3 Notification and information

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

TC App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3

COLL 6.6A Duties of AFMs in relation to UCITS schemes

REC 6.1 Introduction and legal background

SUP 4.3 Appointment of actuaries

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

PERG 1.5 What other guidance about the perimeter is available from the FCA?

EG 13.6 Petitioning for compulsory winding up on just and equitable grounds

PERG 4.16 Mortgage activities

MCOB 4.4A Initial disclosure requirements

PERG 3A.2 General issues

PERG 8.24 Advising on investments

BIPRU 7.10 Use of a Value at Risk Model

PERG 15.4 Small payment institutions, agents and exempt bodies

DTR 8.5 Supervision of primary information providers

CASS 7.16 The standard methods of internal client money reconciliation

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