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

…

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

As Published: 2005

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

…

PR 5.6 Miscellaneous

As Published: 2007

PR 5.6 Miscellaneous

…

SUP 10C.16 References and accurate information

As Published: 2016

SUP 10C.16 References and accurate information

…

RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

…

SUP 13.4 Providing cross border services into another EEA State

As Published: 2001

SUP 13.4 Providing cross border services into another EEA State

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 10C.11 Statements of responsibilities

COLL 6.2 Dealing

LR 20.4 Continuing obligations

COLL 4.4 Meetings of Unitholders and service of notices

SUP 10A.14 Changes to an FCA-approved person's details

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

LR 5.5 Miscellaneous

LR 5.4 Restoring listing

PR 2.5 Omission of information

SYSC 4.8 Senior management responsibilities for third-country relevant authorised persons: allocation of responsibilities

COLL 6.12 Risk management policy and risk measurement

PR 5.3 Certificate of approval

REC 2.3 Financial resources

REC 3.14 Products, services and normal hours of operation

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

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

PR 5.6 Miscellaneous

SUP 10C.16 References and accurate information

RCB 3.6 Fees and other matters

SUP 13.4 Providing cross border services into another EEA State