Search Result
SUP 15A.1 Application and notifications under EMIR
As Published: 2013
SUP 15A.1 Application and notifications under EMIR
…
COBS 2.1 Acting honestly, fairly and professionally
As Published: 2007
COBS 2.1 Acting honestly, fairly and professionally
…
COBS 4.5 Communicating with retail clients
As Published: 2008
COBS 4.5 Communicating with retail clients
…
PERG 8.31 Exclusions for advising on investments
As Published: 2007
PERG 8.31 Exclusions for advising on investments
…
EG 6.5 Publicity during, or upon the conclusion of civil action
As Published: 2016
EG 6.5 Publicity during, or upon the conclusion of civil action
…
REC 3.17 Inability to discharge regulatory functions
As Published: 2013
REC 3.17 Inability to discharge regulatory functions
…
IPRU-INV 12.2 FINANCIAL RESOURCES REQUIREMENTS
As Published: 2017
IPRU-INV 12.2 FINANCIAL RESOURCES REQUIREMENTS
…
SUP 3.6 Firms' cooperation with their auditors
As Published: 2007
SUP 3.6 Firms' cooperation with their auditors
…
ICOBS 8.4 Employers’ Liability Insurance
As Published: 2011
ICOBS 8.4 Employers’ Liability Insurance
…
EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy
As Published: 2015
EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy
…
SUP 16.13 Reporting under the Payment Services Regulations
As Published: 2010
SUP 16.13 Reporting under the Payment Services Regulations
…