Search Result
COBS 11.5 Record keeping: client orders and transactions
As Published: 2007
COBS 11.5 Record keeping: client orders and transactions
…
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
As Published: 2010
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
…
LR 4.2 Contents and format of listing particulars
As Published: 2012
LR 4.2 Contents and format of listing particulars
…
SUP 13A.4 EEA firms establishing a branch in the United Kingdom
As Published: 2007
SUP 13A.4 EEA firms establishing a branch in the United Kingdom
…
SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities
As Published: 2015
SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities
…
EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy
As Published: 2016
EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy
…
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
As Published: 2006
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
…
PERG 4.8 Administering a regulated mortgage contract
As Published: 2008
PERG 4.8 Administering a regulated mortgage contract
…
MCOB 11.6 Responsible lending and financing
As Published: 2012
MCOB 11.6 Responsible lending and financing
…
LR 17.3 Requirements with continuing application
As Published: 2006
LR 17.3 Requirements with continuing application
…
BIPRU 7.7 Position risk requirements for collective investment undertakings
As Published: 2007
BIPRU 7.7 Position risk requirements for collective investment undertakings
…
PERG 14.4 Activities relating to home purchase plans
As Published: 2006
PERG 14.4 Activities relating to home purchase plans
…
REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading
As Published: 2004
REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading
…