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 16.15 Reporting under the Electronic Money Regulations

As Published: 2011

SUP 16.15 Reporting under the Electronic Money Regulations

…

PERG 15.6 Territorial scope

As Published: 2013

PERG 15.6 Territorial scope

…

REC 3.5 Disciplinary action and events relating to members of the management body

As Published: 2013

REC 3.5 Disciplinary action and events relating to members of the management body

…

REC 4.7 The section 297 power to revoke recognition

As Published: 2007

REC 4.7 The section 297 power to revoke recognition

…

FEES 6.7 Payment of levies

As Published: 2008

FEES 6.7 Payment of levies

…

PERG 5.2 Introduction

As Published: 2005

PERG 5.2 Introduction

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

INSPRU 1.5 Internal-contagion risk

BIPRU 4.6 The IRB approach: Retail exposures

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

EG 7.6 Private warnings

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

SYSC 4 Annex 1

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

MAR 5.3A Systems and controls for algorithmic trading

MAR 5A.5 Systems and controls for algorithmic trading

MCOB 1.2 General application: who? what?

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

FEES 5.9 [deleted]

CASS 7.11 Treatment of client money

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