Search Result

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

…

DEPP 5.1 Settlement decision makers

As Published: 2007

DEPP 5.1 Settlement decision makers

…

PERG 9.7 The investment condition: the 'reasonable investor'

As Published: 2005

PERG 9.7 The investment condition: the 'reasonable investor'

…

MCOB 4.4A Initial disclosure requirements

As Published: 2012

MCOB 4.4A Initial disclosure requirements

…

DTR 5.6 Disclosures by issuers

As Published: 2010

DTR 5.6 Disclosures by issuers

…

PERG 13.7 The territorial application of MiFID

As Published: 2007

PERG 13.7 The territorial application of MiFID

…

RCB 3.5 Other notifications

As Published: 2011

RCB 3.5 Other notifications

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

FEES 9.2 PSR fees

REC 6.2 Applications

PERG 16.2 What types of funds and businesses are caught?

REC 3.14A Operation of a regulated market or MTF

PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance

SUP 16.19 Immigration Act compliance reporting

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

SUP 10A.13 Application for approval and withdrawing an application for approval

SUP 6.2 Introduction

MCOB 4.11 Sale and rent back: advising and selling standards

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

DISP 1.10 Complaints reporting rules

SUP 3.3 Appointment of auditors

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