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

…

MAR 10.4 Position reporting

As Published: 2017

MAR 10.4 Position reporting

…

APER 4.4 Statement of Principle 4

As Published: 2015

APER 4.4 Statement of Principle 4

…

REC 4.2D Suspension and removal of financial instruments from trading by the FCA

As Published: 2007

REC 4.2D Suspension and removal of financial instruments from trading by the FCA

…

MAR 9.5 Frequently Asked Questions

As Published: 2017

MAR 9.5 Frequently Asked Questions

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COBS 18.5 Residual CIS operators and small authorised UK AIFMs

CONC App 1.1 Total charge for credit rules for certain agreements secured on land

COBS 4.9 Financial promotions with an overseas element

PERG 6.3 Background

COBS 4.11 Record keeping: financial promotion

CASS 7A.2 Primary pooling events

MCOB 3B.1 Provision of general information

FEES 6.5 Compensation costs

MAR 5AA.1 Operation of a multilateral system as an MTF or OTF

APER 3.1 Introduction

GENPRU 3.1 Application

SUP 17A.2 Connectivity with FCA systems

SUP 15.6 Inaccurate, false or misleading information

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