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

…

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

As Published: 2011

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

CASS 1A.3 Responsibility for CASS operational oversight

APER 4.7 Statement of Principle 7

MAR 8.2 Requirements for benchmark submitters

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

REC 3.14 Products, services and normal hours of operation

COND 2.4 Appropriate resources

SUP App 2.15 Run-off plans for closed with-profits funds

LR 12.4 Purchase of own equity shares

IPRU-INV 11.3 DETAIL OF MAIN REQUIREMENTS

COLL 6.7 Payments

SUP 10C.14 Changes to an FCA-approved person’s details

SYSC 19C.2 General requirement

MAR 10.4 Position reporting

SUP 10C.12 Conditional and time-limited approvals

BIPRU 4.4 The IRB approach: Exposures to corporates, institutions and sovereigns

COND 2.5 Suitability

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

SYSC 8.1 General outsourcing requirements

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

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT