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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

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IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A PERSONAL INVESTMENT FIRM

As Published: 2015

IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A PERSONAL INVESTMENT FIRM

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COBS 3.1 Application

As Published: 2007

COBS 3.1 Application

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APER 4.4 Statement of Principle 4

As Published: 2015

APER 4.4 Statement of Principle 4

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CONC App 1.4 Exemption for high net worth borrowers and hirers and exemption relating to businesses

As Published: 2014

CONC App 1.4 Exemption for high net worth borrowers and hirers and exemption relating to businesses

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EG 10.4 Other relevant powers

TC App 4.1 Appropriate Qualification tables

COBS 6.1D Product provider requirements relating to consultancy charging and remuneration

COBS 11.3 Client order handling

COBS 8.1 Client agreements: non-MiFID designated investment business

COBS 3.8 Policies, procedures and records

CONC 3.1 Application

MAR 1.10 Statutory exceptions

PERG 8.6 Communicate

GENPRU 3.1 Application

SUP 17A.2 Connectivity with FCA systems

REC 2.16 Complaints

SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative

COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)

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