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 7.2 The FCA's powers to set individual requirements and limitations on its own initiative
As Published: 2007
SUP 7.2 The FCA's powers to set individual requirements and limitations on its own initiative
…
REC 4.2D Suspension and removal of financial instruments from trading
As Published: 2007
REC 4.2D Suspension and removal of financial instruments from trading
…
PERG 4.11 Link between activities and the United Kingdom
As Published: 2007
PERG 4.11 Link between activities and the United Kingdom
…
COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
As Published: 2006
COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
…
SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
…
SYSC 4.4 Apportionment of responsibilities
As Published: 2008
SYSC 4.4 Apportionment of responsibilities
…
SYSC 19A.1 General application and purpose
As Published: 2010
SYSC 19A.1 General application and purpose
…
FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
…
COBS 9.5 Record keeping and retention periods for suitability records
As Published: 2007
COBS 9.5 Record keeping and retention periods for suitability records
…
MCOB 4.10 Home purchase plans: sales standards
As Published: 2006
MCOB 4.10 Home purchase plans: sales standards
…
MCOB 4.5 Additional disclosure for distance mortgage mediation contracts, distance home purchase mediation contracts and distance regulated sale and rent back mediation contracts with retail customers
As Published: 2004
MCOB 4.5 Additional disclosure for distance mortgage mediation contracts, distance home purchase mediation contracts and distance regulated sale and rent back mediation contracts with retail customers
…
PERG 8.26 The investment must be a particular investment
As Published: 2005
PERG 8.26 The investment must be a particular investment
…