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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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PERG 8.37 AIFMD Marketing

As Published: 2013

PERG 8.37 AIFMD Marketing

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PERG 8.7 Engage in investment activity

As Published: 2011

PERG 8.7 Engage in investment activity

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SUP App 2.14A Fairness issues for with-profit firms in difficulty or in an irregular situation

As Published: 2015

SUP App 2.14A Fairness issues for with-profit firms in difficulty or in an irregular situation

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SUP 15.7 Form and method of notification

As Published: 2002

SUP 15.7 Form and method of notification

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COBS 10.7 Record keeping and retention periods for appropriateness records

As Published: 2008

COBS 10.7 Record keeping and retention periods for appropriateness records

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CASS 11.2 Firm classification

As Published: 2014

CASS 11.2 Firm classification

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COBS 15.3 Exercising a right to cancel

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

DTR 5.2 Acquisition or disposal of major proportions of voting rights

COBS 4.9 Financial promotions with an overseas element

PERG 8.11 Types of exemption under the Financial Promotion Order

COBS 1.1 General application

REC 4.8 The section 298 procedure

COBS 4.2 Fair, clear and not misleading communications

BIPRU 7.8 Securities underwriting

COBS 22.2 Restrictions on the retail distribution of mutual society shares

COBS 20.5 With-profits governance

GEN 1.2 Referring to approval by the FCA

BIPRU 12.2 Adequacy of liquidity resources

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