Search Result
COLL 6.12 Risk management policy and risk measurement
As Published: 2011
COLL 6.12 Risk management policy and risk measurement
…
SUP 16.12 Integrated Regulatory Reporting
As Published: 2006
SUP 16.12 Integrated Regulatory Reporting
…
DTR 8.5 Supervision of primary information providers
As Published: 2014
DTR 8.5 Supervision of primary information providers
…
SUP 10C.10 Application for approval and withdrawing an application for approval
As Published: 2015
SUP 10C.10 Application for approval and withdrawing an application for approval
…
SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
…
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
…
EG 19.7 The Open-Ended Investment Companies Regulations 2001
As Published: 2016
EG 19.7 The Open-Ended Investment Companies Regulations 2001
…
EG 4.9 Involvement of FCA supervisors during the investigation phase
As Published: 2016
EG 4.9 Involvement of FCA supervisors during the investigation phase
…
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
As Published: 2010
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
…
REC 2.16A Operation of a multilateral trading facility
As Published: 2007
REC 2.16A Operation of a multilateral trading facility
…
EG 5.3 The basis of settlement discussions
As Published: 2016
EG 5.3 The basis of settlement discussions
…
SUP 10C.14 Changes to an FCA-approved person’s details
As Published: 2015
SUP 10C.14 Changes to an FCA-approved person’s details
…
COLL 12.3 EEA UCITS management companies
As Published: 2013
COLL 12.3 EEA UCITS management companies
…
EG 5.4 Multiple parties and third party rights in enforcement action involving warning and decision notices
As Published: 2016
EG 5.4 Multiple parties and third party rights in enforcement action involving warning and decision notices
…