Search Result
EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy
As Published: 2015
EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy
…
PERG 5.12 Link between activities and the United Kingdom
As Published: 2005
PERG 5.12 Link between activities and the United Kingdom
…
SUP 13A.5 EEA firms providing cross border services into the United Kingdom
As Published: 2009
SUP 13A.5 EEA firms providing cross border services into the United Kingdom
…
COLL 12.3 EEA UCITS management companies
As Published: 2013
COLL 12.3 EEA UCITS management companies
…
LR 3.2 Application for admission to listing
As Published: 2005
LR 3.2 Application for admission to listing
…
COLL 4.4 Meetings of Unitholders and service of notices
As Published: 2006
COLL 4.4 Meetings of Unitholders and service of notices
…
DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?
As Published: 2008
DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?
…
COLL 6.12 Risk management policy and risk measurement
As Published: 2011
COLL 6.12 Risk management policy and risk measurement
…
LR 12.5 Purchase of own securities other than equity shares
As Published: 2007
LR 12.5 Purchase of own securities other than equity shares
…
EG 9.3 Prohibition orders and withdrawal of approval - approved persons
As Published: 2015
EG 9.3 Prohibition orders and withdrawal of approval - approved persons
…