Search Result
REC 3.14A Operation of a regulated market or MTF
As Published: 2007
REC 3.14A Operation of a regulated market or MTF
…
SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background
As Published: 2001
SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background
…
PERG 9.6 The investment condition (section 236(3) of the Act): general
As Published: 2009
PERG 9.6 The investment condition (section 236(3) of the Act): general
…
SUP 1A.3 The FCA's approach to supervision
As Published: 2013
SUP 1A.3 The FCA's approach to supervision
…
SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent
As Published: 2004
SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent
…
COLL 7.2 Suspension and restart of dealings
As Published: 2008
COLL 7.2 Suspension and restart of dealings
…
SUP 15.6 Inaccurate, false or misleading information
As Published: 2005
SUP 15.6 Inaccurate, false or misleading information
…
SUP 11.6 Subsequent notification requirements by firms
As Published: 2004
SUP 11.6 Subsequent notification requirements by firms
…
SUP 3.10 Duties of auditors: notification and report on client assets
As Published: 2004
SUP 3.10 Duties of auditors: notification and report on client assets
…
MAR 8.3 Requirements for benchmark administrators
As Published: 2013
MAR 8.3 Requirements for benchmark administrators
…
COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC
As Published: 2004
COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC
…