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

…

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

As Published: 2009

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 13A.4 EEA firms establishing a branch in the United Kingdom

EG App 3.1 The FCA

COCON 1.1 Application

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

SUP 6.5 Ending authorisation

EG 11.5 Other relevant powers

REC 6.6 Supervision

PERG 5.1 Application and purpose

FEES 10.1 Application, purpose and background

DTR 5.4 Aggregation of managed holdings

PERG 9.6 The investment condition (section 236(3) of the Act): general

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

SUP 15.2 Purpose

PR 2.3 Minimum information to be included in a prospectus

SUP 1A.3 The FCA's approach to supervision

SUP 15.6 Inaccurate, false or misleading information

SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent

REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)

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

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements