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

…

REC 4.3 Risk assessments for UK recognised bodies

As Published: 2013

REC 4.3 Risk assessments for UK recognised bodies

…

DEPP 3.1 The Regulatory Decisions Committee

As Published: 2007

DEPP 3.1 The Regulatory Decisions Committee

…

EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004

As Published: 2015

EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004

…

FEES 5.4 Information requirement

As Published: 2007

FEES 5.4 Information requirement

…

EG 3.2 Information requests (section 165)

As Published: 2016

EG 3.2 Information requests (section 165)

…

SUP 10C.1 Application

As Published: 2015

SUP 10C.1 Application

…

EG 3.2A Information requests (section 122A)

As Published: 2016

EG 3.2A Information requests (section 122A)

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

REC 3.14A Operation of a regulated market or MTF

SUP 1A.3 The FCA's approach to supervision

LR 3.4 Debt and other securities

SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent

MAR 9.5 Frequently Asked Questions

EG 2.10 Industry guidance

SYSC 22.7 Getting references: additional rules and guidance for full scope regulatory reference firms

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

PERG 6.7 Examples

REC 3.1 Application and purpose

SUP 11.6 Subsequent notification requirements by firms

FEES 11.1 Application, purpose and background

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