Search Result
DEPP 6.6 Financial penalties for late and incomplete submission of reports
As Published: 2010
DEPP 6.6 Financial penalties for late and incomplete submission of reports
…
DTR 1C.2 Modifying rules and consulting the FCA
As Published: 2014
DTR 1C.2 Modifying rules and consulting the FCA
…
BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives
As Published: 2007
BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives
…
DTR 1A.2 Modifying rules and consulting the FCA
As Published: 2012
DTR 1A.2 Modifying rules and consulting the FCA
…
MAR 5.7 Pre-trade transparency requirements for shares
As Published: 2007
MAR 5.7 Pre-trade transparency requirements for shares
…
PERG 1.5 What other guidance about the perimeter is available from the FCA?
As Published: 2006
PERG 1.5 What other guidance about the perimeter is available from the FCA?
…
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
…
BIPRU 1.3 Applications for advanced approaches and waivers
As Published: 2006
BIPRU 1.3 Applications for advanced approaches and waivers
…
SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative
As Published: 2004
SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative
…
BIPRU 3.3 The use of the credit assessments of ratings agencies
As Published: 2007
BIPRU 3.3 The use of the credit assessments of ratings agencies
…
SUP 17.4 Information in transaction reports
As Published: 2007
SUP 17.4 Information in transaction reports
…
SUP 10A.12 Procedures relating to FCA-approved persons
As Published: 2014
SUP 10A.12 Procedures relating to FCA-approved persons
…
DTR 1.5 Fees, market abuse safe harbours and sanctions
As Published: 2005
DTR 1.5 Fees, market abuse safe harbours and sanctions
…