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

…

SUP 10A.13 Application for approval and withdrawing an application for approval

As Published: 2015

SUP 10A.13 Application for approval and withdrawing an application for approval

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

EG App 3.1 The FCA

CASS 7A.2 Primary pooling events

RCB 2.3 Determination of registration

SUP 8.4 Reliance on waivers

DTR 8.4 Continuing obligations

EG 2.4 Case selection: Unauthorised business

SYSC 21.1 Risk control: guidance on governance arrangements

PERG 2.7 Activities: a broad outline

SUP 4.4 Appropriate actuaries

SUP 13.12 Sources of further information

REC 2.2 Method of satisfying the recognition requirements

REC 3.6 Constitution and governance

GENPRU 2.2 Capital resources

EG 10.4 Other relevant powers

EG 3.7 Investigations to assist overseas authorities (section 169)

SUP 13A.7 Top-up permission

DEPP 6.5A The five steps for penalties imposed on firms

SYSC 4.5 Management responsibilities maps for UK relevant authorised persons

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

SUP 10A.13 Application for approval and withdrawing an application for approval