Search Result
COLL 7.2 Suspension and restart of dealings
As Published: 2008
COLL 7.2 Suspension and restart of dealings
…
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
…
CASS 1.2 General application: who? what?
As Published: 2003
CASS 1.2 General application: who? what?
…
SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent
As Published: 2004
SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent
…
SUP 5.3 Policy on the use of skilled persons
As Published: 2005
SUP 5.3 Policy on the use of skilled persons
…
COBS 6.1A Adviser charging and remuneration
As Published: 2010
COBS 6.1A Adviser charging and remuneration
…
PERG 4.10 Exclusions applying to more than one regulated activity
As Published: 2014
PERG 4.10 Exclusions applying to more than one regulated activity
…
DTR 5.8 Procedures for the notification and disclosure of major holdings
As Published: 2007
DTR 5.8 Procedures for the notification and disclosure of major holdings
…
REC 3.14A Operation of a regulated market or MTF
As Published: 2007
REC 3.14A Operation of a regulated market or MTF
…
CONC 10.2 Prudential resources requirements
As Published: 2014
CONC 10.2 Prudential resources requirements
…