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

…

EG 4.12 Search and seizure powers

As Published: 2016

EG 4.12 Search and seizure powers

…

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

As Published: 2017

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

…

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)

…

BIPRU 7.11 Credit derivatives in the trading book

As Published: 2007

BIPRU 7.11 Credit derivatives in the trading book

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

PERG 3A.4 Small electronic money institutions, mixed businesses, distributors, agents and exempt bodies

DTR 6.3 Dissemination of information

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

PERG 8.3 Financial promotion

BIPRU 9.8 Use of ECAI credit assessments for the determination of applicable risk weights

COLL 6.6A Duties of AFMs in relation to UCITS schemes

SYSC 18.3 Internal arrangements

PERG 2.2 Introduction

EG 1.1 Overview

COCON 1.2 Investments

SUP 3.2 Purpose

REC 6.8 Powers to supervise

PERG 8.8 Having an effect in the United Kingdom

EG 19.13 The Consumer Protection Co-operation Regulation [deleted]

PERG 16.8 Territorial scope

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