Search Result
REC 6.7 Notification rules for overseas recognised bodies
As Published: 2013
REC 6.7 Notification rules for overseas recognised bodies
…
PR 1.2 Requirement for a prospectus and exemptions
As Published: 2009
PR 1.2 Requirement for a prospectus and exemptions
…
SUP 11.3 Requirements on controllers or proposed controllers under the Act
As Published: 2001
SUP 11.3 Requirements on controllers or proposed controllers under the Act
…
FEES 5.9 Leaving the Financial Ombudsman Service
As Published: 2009
FEES 5.9 Leaving the Financial Ombudsman Service
…
LR 13.5 Financial information in Class 1 Circulars
As Published: 2007
LR 13.5 Financial information in Class 1 Circulars
…
BIPRU 5.5 Other funded credit risk mitigation
As Published: 2010
BIPRU 5.5 Other funded credit risk mitigation
…
REC 3.14A Operation of a regulated market or MTF
As Published: 2007
REC 3.14A Operation of a regulated market or MTF
…
CASS 11.3 Responsibility for CASS operational oversight
As Published: 2015
CASS 11.3 Responsibility for CASS operational oversight
…
IPRU-INV 14.3 CONSOLIDATED SUPERVISION REQUIREMENT
As Published: 2015
IPRU-INV 14.3 CONSOLIDATED SUPERVISION REQUIREMENT
…
BIPRU 11.3 Disclosures: Information to be disclosed; Frequency, media and location of disclosures; Verification
As Published: 2007
BIPRU 11.3 Disclosures: Information to be disclosed; Frequency, media and location of disclosures; Verification
…
SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative
As Published: 2004
SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative
…
COCON 3.1 General factors for assessing compliance
As Published: 2016
COCON 3.1 General factors for assessing compliance
…
REC 6A.1 Exercise of passport rights by EEA market operator
As Published: 2007
REC 6A.1 Exercise of passport rights by EEA market operator
…
DTR 6.1 Information requirements for issuers of shares and debt securities
As Published: 2006
DTR 6.1 Information requirements for issuers of shares and debt securities
…
COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
As Published: 2005
COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
…