Search Result
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
…
PERG 8.12 Exemptions applying to all controlled activities
As Published: 2005
PERG 8.12 Exemptions applying to all controlled activities
…
EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013
As Published: 2016
EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013
…
COLL 4.4 Meetings of Unitholders and service of notices
As Published: 2006
COLL 4.4 Meetings of Unitholders and service of notices
…
EG 19.22 Decision making under the Payment Services Regulations
As Published: 2016
EG 19.22 Decision making under the Payment Services Regulations
…
REC 4.3 Risk assessments for UK recognised bodies
As Published: 2013
REC 4.3 Risk assessments for UK recognised bodies
…
EG 19.9 Electronic commerce activity directions: the FCA’s policy
As Published: 2016
EG 19.9 Electronic commerce activity directions: the FCA’s policy
…
SUP 10C.11 Statements of responsibilities
As Published: 2015
SUP 10C.11 Statements of responsibilities
…
SUP 15.3 General notification requirements
As Published: 2004
SUP 15.3 General notification requirements
…
SYSC 4.8 Senior management responsibilities for third-country relevant authorised persons: allocation of responsibilities
As Published: 2015
SYSC 4.8 Senior management responsibilities for third-country relevant authorised persons: allocation of responsibilities
…
SUP 13A.3 Qualifications for authorisation under the Act
As Published: 2007
SUP 13A.3 Qualifications for authorisation under the Act
…
COCON 4.1 Specific guidance on individual conduct rules
As Published: 2015
COCON 4.1 Specific guidance on individual conduct rules
…
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
As Published: 2004
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
…
SYSC 19A.3 Remuneration principles for IFPRU investment firms
As Published: 2011
SYSC 19A.3 Remuneration principles for IFPRU investment firms
…
LR 8.6 Criteria for approval as a sponsor
As Published: 2005
LR 8.6 Criteria for approval as a sponsor
…
SYSC 21.1 Risk control: guidance on governance arrangements
As Published: 2010
SYSC 21.1 Risk control: guidance on governance arrangements
…