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FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
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REC 4.2F Information gathering power on FCA’s own initiative
As Published: 2013
REC 4.2F Information gathering power on FCA’s own initiative
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SUP 3.11 Review of auditor’s client assets report
As Published: 2011
SUP 3.11 Review of auditor’s client assets report
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REC 2A.2 Method of satisfying the RAP recognition requirements
As Published: 2013
REC 2A.2 Method of satisfying the RAP recognition requirements
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REC 6.1 Introduction and legal background
As Published: 2007
REC 6.1 Introduction and legal background
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COBS 4.11 Record keeping: financial promotion
As Published: 2007
COBS 4.11 Record keeping: financial promotion
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SUP 16.9 Appointed representatives annual report
As Published: 2002
SUP 16.9 Appointed representatives annual report
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PERG 1.5 What other guidance about the perimeter is available from the FCA?
As Published: 2006
PERG 1.5 What other guidance about the perimeter is available from the FCA?
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LR 17.3 Requirements with continuing application
As Published: 2006
LR 17.3 Requirements with continuing application
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SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative
As Published: 2004
SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative
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PERG 4.3 Regulated activities related to mortgages
As Published: 2005
PERG 4.3 Regulated activities related to mortgages
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PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
As Published: 2005
PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
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