1. UK Financial Services Law
  2. Legislation (UK)
  3. Acts
  4. 2000
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  1. Financial Services and Markets Act 2000 (c. 8) (FSMA)
  2. Part IXC Prudential regulation of FCA investment firms (ss. 143A-143Z)
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Part IXC Prudential regulation of FCA investment firms (ss. 143A-143Z)

Comparing proposed amendment...
Interpretation (ss. 143A-143B)
In force
 143A. FCA investment firms
In force
 143B. Other terms used in this Part
Rules (s. 143C-143I)
In force
 143C. Duty to make rules applying to FCA investment firms
In force
 143D. Duty to make rules applying to parent undertakings
In force
 143E. Powers to make rules applying to parent undertakings
In force
 143F. Part 9C rules
In force
 143G. Matters to consider when making Part 9C rules
In force
 143H. Explanation to accompany consultation on rules
In force
 143I. Exceptions from sections 143G and 143H
Requirement to have UK parent undertaking (s. 143J)
In force
 143J. Requirement to have UK parent undertaking
Imposition of requirements on non-authorised parent undertakings (ss. 143K-143Q)
In force
 143K. Imposition of requirements on non-authorised parent undertakings
In force
 143L. Applications under section 143K
In force
 143M. Determination of applications under section 143K
In force
 143N. Refusal of applications under section 143K
In force
 143O. Exercise of own-initiative power under section 143K
In force
 143P. Right to refer matters to the Tribunal
In force
 143Q. Assets requirements
Control of managers etc of non-authorised parent undertakings (ss. 143R-143V)
In force
 143R. Managers of non-authorised parent undertakings
In force
 143S. Part 9C prohibition orders
In force
 143T. Procedure for making a Part 9C prohibition order
In force
 143U. Varying and withdrawing a Part 9C prohibition order
In force
 143V. Offence of breaching a Part 9C prohibition order
Disciplinary measures for non-authorised parent undertakings (ss. 143W-143Z)
In force
 143W. Disciplinary measures
In force
 143X. Procedure for disciplinary measures
In force
 143Y. Statement of policy for penalties under section 143W
In force
 143Z. Procedure for statement of policy
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