Search Result
SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent
As Published: 2004
SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent
…
SUP 15.6 Inaccurate, false or misleading information
As Published: 2005
SUP 15.6 Inaccurate, false or misleading information
…
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
As Published: 2004
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
…
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
…
DTR 5.2 Acquisition or disposal of major proportions of voting rights
As Published: 2007
DTR 5.2 Acquisition or disposal of major proportions of voting rights
…
EG 19.21 The conduct of investigations under the Payment Services Regulations
As Published: 2016
EG 19.21 The conduct of investigations under the Payment Services Regulations
…
EG 19.11 Financial Services (Distance Marketing) Regulations 2004
As Published: 2016
EG 19.11 Financial Services (Distance Marketing) Regulations 2004
…
EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy
As Published: 2016
EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy
…
FEES 11.1 Application, purpose and background
As Published: 2015
FEES 11.1 Application, purpose and background
…
REC 4.3 Risk assessments for UK recognised bodies
As Published: 2013
REC 4.3 Risk assessments for UK recognised bodies
…
EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004
As Published: 2015
EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004
…
ICOBS 8.4 Employers’ Liability Insurance
As Published: 2011
ICOBS 8.4 Employers’ Liability Insurance
…