Search Result
SUP 5.4 Appointment and reporting process
As Published: 2001
SUP 5.4 Appointment and reporting process
…
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
…
EG 12.3 Criminal prosecutions in cases of market abuse
As Published: 2016
EG 12.3 Criminal prosecutions in cases of market abuse
…
REC 4.5 FCA supervision of action by UK RIEs under their default rules
As Published: 2013
REC 4.5 FCA supervision of action by UK RIEs under their default rules
…
COLL 11.3 Co-ordination and information exchange for master and feeder UCITS
As Published: 2013
COLL 11.3 Co-ordination and information exchange for master and feeder UCITS
…
FEES 4.4 Information on which fees are calculated
As Published: 2007
FEES 4.4 Information on which fees are calculated
…
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
…
SUP 13A.3 Qualifications for authorisation under the Act
As Published: 2007
SUP 13A.3 Qualifications for authorisation under the Act
…
EG 15.4 Disqualification under section 249 or section 261K
As Published: 2016
EG 15.4 Disqualification under section 249 or section 261K
…
EG 19.15 The conduct of investigations under the Money Laundering Regulations
As Published: 2016
EG 19.15 The conduct of investigations under the Money Laundering Regulations
…
LR 9.2 Requirements with continuing application
As Published: 2006
LR 9.2 Requirements with continuing application
…