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

…

SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose

…

INSPRU 8.4 Capacity Transfer Market

As Published: 2009

INSPRU 8.4 Capacity Transfer Market

…

MAR 5.5 Monitoring compliance with the rules of the MTF

As Published: 2003

MAR 5.5 Monitoring compliance with the rules of the MTF

…

MAR 5A.7 Monitoring compliance with the rules of the OTF

As Published: 2017

MAR 5A.7 Monitoring compliance with the rules of the OTF

…

DTR 4.4 Exemptions

As Published: 2010

DTR 4.4 Exemptions

…

SUP 16.15 Reporting under the Electronic Money Regulations

As Published: 2011

SUP 16.15 Reporting under the Electronic Money Regulations

…

PERG 10.4 Pension scheme service providers other than trustees

As Published: 2006

PERG 10.4 Pension scheme service providers other than trustees

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COLL 3.2 The instrument constituting the fund

CONC 2.8 E-commerce

PRIN 2.1 The Principles

CASS 10.2 Core content requirements

CASS 12.2 Treatment of client money

REC 2A.2 Method of satisfying the RAP recognition requirements

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

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

CASS 9.5 Reporting to clients on request

INSPRU 8.2 Special provisions for Lloyd's

COBS 6.1A Adviser charging and remuneration

RCB 3.5 Other notifications

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