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

…

DEPP 6.2 Deciding whether to take action

As Published: 2007

DEPP 6.2 Deciding whether to take action

…

COLL 2.1 Authorised fund applications

As Published: 2011

COLL 2.1 Authorised fund applications

…

SUP 10A.6 FCA governing functions

As Published: 2013

SUP 10A.6 FCA governing functions

…

PERG 8.17A Financial promotions concerning insurance distribution activities

As Published: 2018

PERG 8.17A Financial promotions concerning insurance distribution activities

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SYSC 4.1 General requirements

PRIN 4.1 Principles: MiFID business

PR 5.6 Miscellaneous

COBS 11.5 Record keeping: client orders and transactions [deleted]

COBS 9.5 Record keeping and retention periods for suitability records

COBS 12.1 Purpose and application

CREDS 2.2 General provisions

COLL 9.2 Section 264 recognised schemes [deleted]

COBS 18.1 Trustee Firms

COLL 11.4 Depositaries

COLL 6.9 Independence, names and UCITS business restrictions

GEN 4.2 Purpose

EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017

FEES 6.7 Payment of levies

COLL 8.5 Powers and responsibilities

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