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GEN 4.5 Statements about authorisation and regulation by the appropriate regulator
As Published: 2008
GEN 4.5 Statements about authorisation and regulation by the appropriate regulator
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REC 4.7 The section 297 power to revoke recognition
As Published: 2007
REC 4.7 The section 297 power to revoke recognition
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REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing
As Published: 2006
REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing
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PR 5.5 Persons responsible for a prospectus
As Published: 2012
PR 5.5 Persons responsible for a prospectus
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CASS 9.4 Information to clients concerning custody assets and client money
As Published: 2014
CASS 9.4 Information to clients concerning custody assets and client money
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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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LR 4.3 Approval and publication of listing particulars
As Published: 2005
LR 4.3 Approval and publication of listing particulars
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REC 6A.1 Exercise of passport rights by EEA market operator
As Published: 2007
REC 6A.1 Exercise of passport rights by EEA market operator
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SUP 11.7 Acquisition or increase of control: assessment process and criteria
As Published: 2004
SUP 11.7 Acquisition or increase of control: assessment process and criteria
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