Search Result
REC 3.5 Disciplinary action and events relating to key individuals
As Published: 2013
REC 3.5 Disciplinary action and events relating to key individuals
…
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)
As Published: 2016
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)
…
COBS 6.1E Platform services: platform charges and using a platform service for advising
As Published: 2011
COBS 6.1E Platform services: platform charges and using a platform service for advising
…
EG 4.4 Appointment of additional investigators
As Published: 2016
EG 4.4 Appointment of additional investigators
…
SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents
As Published: 2001
SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents
…
MAR 4.3 Support of the Takeover Panel's Functions
As Published: 2007
MAR 4.3 Support of the Takeover Panel's Functions
…
SYSC 4.5 Management responsibilities maps for UK relevant authorised persons
As Published: 2015
SYSC 4.5 Management responsibilities maps for UK relevant authorised persons
…
PERG 4.18 Regulated activities related to mortgages: flowchart
As Published: 2005
PERG 4.18 Regulated activities related to mortgages: flowchart
…
EG 7.4 Apportionment of financial penalties
As Published: 2016
EG 7.4 Apportionment of financial penalties
…
CASS 1A.3 Responsibility for CASS operational oversight
As Published: 2010
CASS 1A.3 Responsibility for CASS operational oversight
…