Search Result

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

…

PERG 13.7 The territorial application of MiFID

As Published: 2007

PERG 13.7 The territorial application of MiFID

…

REC 1.2 Purpose, status and quotations

As Published: 2004

REC 1.2 Purpose, status and quotations

…

LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

…

SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

…

DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

…

FEES App 1.1 Introduction

As Published: 2012

FEES App 1.1 Introduction

…

SUP 15.13 Notification by CBTL firms

As Published: 2016

SUP 15.13 Notification by CBTL firms

…

EG App 2.1 Purpose, status and application of the guidelines

As Published: 2015

EG App 2.1 Purpose, status and application of the guidelines

…

REC 6.6 Supervision

As Published: 2013

REC 6.6 Supervision

…

FEES 13.1 Application and purpose

As Published: 2017

FEES 13.1 Application and purpose

…

COLL 12.3 EEA UCITS management companies

As Published: 2013

COLL 12.3 EEA UCITS management companies

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

REC 4.5 FCA supervision of action by UK RIEs under their default rules

PERG 5.11 Other aspects of exclusions

GEN 5.1 Application and purpose

FEES 13.2 The IML levy

REC 6.5 FCA decision on recognition

EG 19.28 Legal Aid, Sentencing and Punishment of Offenders Act 2012 (Referral Fees) Regulations 2013

EG 19.29 Immigration Act 2014 (Bank Account) Regulations 2014

SUP 16.3 General provisions on reporting

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)