Search Result
REC 4.5 FCA supervision of action by UK RIEs under their default rules
As Published: 2013
REC 4.5 FCA supervision of action by UK RIEs under their default rules
…
FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)
As Published: 2006
FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)
…
REC 3.14 Products, services and normal hours of operation
As Published: 2007
REC 3.14 Products, services and normal hours of operation
…
COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes
As Published: 2011
COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes
…
BIPRU 12.9 Individual liquidity guidance and regulatory intervention points
As Published: 2012
BIPRU 12.9 Individual liquidity guidance and regulatory intervention points
…
SUP 2.3 Information gathering by the appropriate regulator on its own initiative: cooperation by firms
As Published: 2007
SUP 2.3 Information gathering by the appropriate regulator on its own initiative: cooperation by firms
…
MAR 1.4 Market abuse (improper disclosure)
As Published: 2001
MAR 1.4 Market abuse (improper disclosure)
…