Search Result

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy

…

COBS 12.2 Investment research

As Published: 2007

COBS 12.2 Investment research

…

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

As Published: 2006

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

…

LR 2.2 Requirements for all securities

As Published: 2007

LR 2.2 Requirements for all securities

…

REC 2A.3 Guidance on RAP recognition requirements

As Published: 2012

REC 2A.3 Guidance on RAP recognition requirements

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

ICOBS 4.3 Fee disclosure

SUP 10A.10 Customer-dealing functions

DISP App 3.10 Application: evidential provisions

PERG 7.7 Post-certification issues

MCOB 9.1 Application

CASS 7A.3 Secondary pooling events

COLL 11.5 Auditors

INSPRU 1.5 Internal-contagion risk

EG 5.6 Mediation

EG 2.11 Senior management responsibility

EG 5.7 The relevance of settled cases to subsequent action

EG 2.5 Cases where other authorities have an interest

EG 19.1 Introduction

SUP 8.4 Reliance on waivers

EG 3.1 Introduction

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy

COBS 12.2 Investment research

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

LR 2.2 Requirements for all securities

REC 2A.3 Guidance on RAP recognition requirements