Search Result
CASS 11.3 Responsibility for CASS operational oversight
As Published: 2015
CASS 11.3 Responsibility for CASS operational oversight
…
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
As Published: 2006
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
…
SUP 13.12 Sources of further information
As Published: 2001
SUP 13.12 Sources of further information
…
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
…
EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative
As Published: 2016
EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative
…
SYSC 21.1 Risk control: guidance on governance arrangements
As Published: 2010
SYSC 21.1 Risk control: guidance on governance arrangements
…
PERG 9.10 Significance of being an open-ended investment company
As Published: 2005
PERG 9.10 Significance of being an open-ended investment company
…
EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action
As Published: 2016
EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action
…
BIPRU 9.10 Reduction in risk-weighted exposure amounts
As Published: 2007
BIPRU 9.10 Reduction in risk-weighted exposure amounts
…