Search Result
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
…
CASS 10.1 Application, purpose and general provisions
As Published: 2012
CASS 10.1 Application, purpose and general provisions
…
REC 3.26 Proposals to make regulatory provision
As Published: 2007
REC 3.26 Proposals to make regulatory provision
…
SUP 16.3 General provisions on reporting
As Published: 2001
SUP 16.3 General provisions on reporting
…
CASS 11.3 Responsibility for CASS operational oversight
As Published: 2014
CASS 11.3 Responsibility for CASS operational oversight
…
PERG 8.17 Financial promotions concerning agreements for qualifying credit
As Published: 2005
PERG 8.17 Financial promotions concerning agreements for qualifying credit
…
COLL 5.2 General investment powers and limits for UCITS schemes
As Published: 2005
COLL 5.2 General investment powers and limits for UCITS schemes
…
MAR 8.3 Requirements for benchmark administrators
As Published: 2015
MAR 8.3 Requirements for benchmark administrators
…
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
…
SUP 15.6 Inaccurate, false or misleading information
As Published: 2005
SUP 15.6 Inaccurate, false or misleading information
…
SUP 3.10 Duties of auditors: notification and report on client assets
As Published: 2004
SUP 3.10 Duties of auditors: notification and report on client assets
…
SYSC 4.4 Apportionment of responsibilities
As Published: 2008
SYSC 4.4 Apportionment of responsibilities
…