Search Result

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

…

COLL 3.3 Units

As Published: 2007

COLL 3.3 Units

…

BIPRU 3.7 Classification of off-balance-sheet items

As Published: 2007

BIPRU 3.7 Classification of off-balance-sheet items

…

DEPP 6A.3 Determining the appropriate length of the period of suspension or restriction

As Published: 2011

DEPP 6A.3 Determining the appropriate length of the period of suspension or restriction

…

SUP 10A.11 Minimising overlap with the PRA approved persons regime

As Published: 2013

SUP 10A.11 Minimising overlap with the PRA approved persons regime

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

MAR 6.1 Application

REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)

FEES 8.1 Consumer Credit permissions

PERG 4.6 Advising on regulated mortgage contracts

MCOB 5.4 Mortgage illustrations: general

PR 5.3 Certificate of approval

PERG 16.7 By way of business

GEN 4.4 Business for retail clients from non-UK offices

COLL 6.8 Income: accounting, allocation and distribution

PERG 7.2 Introduction

COBS 19.2 Personal pensions, FSAVCs and AVCs

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

REC 4.2F Information gathering power on FCA’s own initiative

PERG 6.3 Background

MAR 1.4 Market abuse (improper disclosure)

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

COLL 3.3 Units

BIPRU 3.7 Classification of off-balance-sheet items

DEPP 6A.3 Determining the appropriate length of the period of suspension or restriction

SUP 10A.11 Minimising overlap with the PRA approved persons regime