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SYSC 9.1 General rules on record-keeping
As Published: 2007
SYSC 9.1 General rules on record-keeping
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EG 19.20 Payment Services Regulations 2009
As Published: 2016
EG 19.20 Payment Services Regulations 2009
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CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank
As Published: 2014
CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank
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IPRU-INV 5.12 Counterparty risk requirement (CRR)
As Published: 2016
IPRU-INV 5.12 Counterparty risk requirement (CRR)
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FEES 5.8 Joining the Financial Ombudsman Service
As Published: 2009
FEES 5.8 Joining the Financial Ombudsman Service
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PR 3.2 Filing and publication of prospectus
As Published: 2012
PR 3.2 Filing and publication of prospectus
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EG 13.7 Petitioning for compulsory winding up of a company already in voluntary winding up
As Published: 2016
EG 13.7 Petitioning for compulsory winding up of a company already in voluntary winding up
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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
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SUP 17.4 Information in transaction reports
As Published: 2007
SUP 17.4 Information in transaction reports
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COBS 13.3 Contents of a key features document
As Published: 2007
COBS 13.3 Contents of a key features document
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COBS 19.6 Restriction on charges in qualifying schemes
As Published: 2015
COBS 19.6 Restriction on charges in qualifying schemes
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FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
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SUP 10A.12 Procedures relating to FCA-approved persons
As Published: 2014
SUP 10A.12 Procedures relating to FCA-approved persons
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