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

…

FEES 1.1 Application and Purpose

As Published: 2005

FEES 1.1 Application and Purpose

…

FEES 6.5 Compensation costs

As Published: 2006

FEES 6.5 Compensation costs

…

SUP 16.14 Client money and asset return

As Published: 2010

SUP 16.14 Client money and asset return

…

PERG 8.20 Additional restriction on the promotion of collective investment schemes

As Published: 2005

PERG 8.20 Additional restriction on the promotion of collective investment schemes

…

PERG 9.1 Application and Purpose

As Published: 2007

PERG 9.1 Application and Purpose

…

CASS 8.3 Records and internal controls

As Published: 2013

CASS 8.3 Records and internal controls

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COLL 1.1 Applications and purpose

DISP App 3.1 Introduction

SYSC 2.2 Recording the apportionment

REC 6.5 FCA decision on recognition

MAR 5.6 Reporting requirements

REC 3.5 Disciplinary action and events relating to key individuals

MCOB 2.8 Record keeping

BIPRU 12.5 Individual Liquidity Adequacy Standards

FEES 6.1 Application

SYSC 6.2 Internal audit

SUP 14.1 Application and purpose

PERG 13.6 CRD IV

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

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