Search Result
DTR 1A.2 Modifying rules and consulting the FCA
As Published: 2012
DTR 1A.2 Modifying rules and consulting the FCA
…
SUP 16.9 Appointed representatives annual report
As Published: 2002
SUP 16.9 Appointed representatives annual report
…
SYSC 1.4 Application of SYSC 11 to SYSC 21
As Published: 2006
SYSC 1.4 Application of SYSC 11 to SYSC 21
…
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
As Published: 2004
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
…
MIPRU 4.4 Calculation of capital resources
As Published: 2006
MIPRU 4.4 Calculation of capital resources
…
COLL 13.2 Operational requirements for feeder NURS
As Published: 2012
COLL 13.2 Operational requirements for feeder NURS
…
SUP 13A.3 Qualifications for authorisation under the Act
As Published: 2007
SUP 13A.3 Qualifications for authorisation under the Act
…
MAR 5.7 Pre-trade transparency requirements for shares
As Published: 2007
MAR 5.7 Pre-trade transparency requirements for shares
…
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
…
COBS 18.8 OPS firms - non scope business
As Published: 2007
COBS 18.8 OPS firms - non scope business
…