Search Result

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation

…

SUP 9.4 Reliance on individual guidance

As Published: 2001

SUP 9.4 Reliance on individual guidance

…

SUP 13.11 Record keeping

As Published: 2007

SUP 13.11 Record keeping

…

REC 2.2 Method of satisfying the recognition requirements

As Published: 2004

REC 2.2 Method of satisfying the recognition requirements

…

REC 4.6 The section 296 power to give directions

As Published: 2007

REC 4.6 The section 296 power to give directions

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

COCON 4.1 Specific guidance on individual conduct rules

FEES 1.1 Application and Purpose

ICOBS 8.2 Motor vehicle liability insurers

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

FIT 1.3 Assessing fitness and propriety

SUP 15.9 Notifications by members of financial conglomerates

RCB 1.1 Introduction to sourcebook

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?

PR App 1.1

SUP 10C.13 Variation of conditional and time-limited approvals

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

APER 2.1A The Statements of Principle

COBS 11.2 Best execution

REC 3.14A Operation of a regulated market or MTF

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation

SUP 9.4 Reliance on individual guidance

SUP 13.11 Record keeping

REC 2.2 Method of satisfying the recognition requirements

REC 4.6 The section 296 power to give directions