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 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

…

PR 1.1 Preliminary

As Published: 2005

PR 1.1 Preliminary

…

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

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

LR 12.5 Purchase of own securities other than equity shares

MCOB 4.4A Initial disclosure requirements

COLL 12.4 UCITS product passport

SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities

LR 9.3 Continuing obligations: holders

SUP 13.4 Providing cross border services into another EEA State

LR 14.2 Requirements for listing

PR App 1.1

DTR 6.2 Filing information and use of language

LR 16.3 Listing applications

COLL 8.3 Investor relations

COLL 4.3 Approvals and notifications

REC 6.7 Notification rules for overseas recognised bodies

MAR 1.2 Market Abuse: general

LR 4.3 Approval and publication of listing particulars

COLL 12.3 EEA UCITS management companies

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 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

PR 1.1 Preliminary

SUP 10C.14 Changes to an FCA-approved person’s details