Search Result
GEN 4.5 Statements about authorisation and regulation by the appropriate regulator
As Published: 2008
GEN 4.5 Statements about authorisation and regulation by the appropriate regulator
…
EG 11.1 Restitution orders under sections 382, 383 and 384 of the Act: the FCA's general approach
As Published: 2016
EG 11.1 Restitution orders under sections 382, 383 and 384 of the Act: the FCA's general approach
…
REC 4.2D Suspension and removal of financial instruments from trading
As Published: 2007
REC 4.2D Suspension and removal of financial instruments from trading
…
EG 19.27 Alternative Investment Fund Managers Regulations 2013
As Published: 2016
EG 19.27 Alternative Investment Fund Managers Regulations 2013
…
EG 9.4 Prohibition orders against exempt persons and members of professional firms
As Published: 2016
EG 9.4 Prohibition orders against exempt persons and members of professional firms
…
BIPRU 1.3 Applications for advanced approaches and waivers
As Published: 2006
BIPRU 1.3 Applications for advanced approaches and waivers
…
TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
…
CASS 11.3 Responsibility for CASS operational oversight
As Published: 2015
CASS 11.3 Responsibility for CASS operational oversight
…
EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling
As Published: 2016
EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling
…
SUP 9.2 Making a request for individual guidance
As Published: 2005
SUP 9.2 Making a request for individual guidance
…
EG 19.22 Decision making under the Payment Services Regulations
As Published: 2016
EG 19.22 Decision making under the Payment Services Regulations
…
COLL 11.6 Winding up, merger and division of master UCITS
As Published: 2013
COLL 11.6 Winding up, merger and division of master UCITS
…
SYSC 1.4 Application of SYSC 11 to SYSC 22
As Published: 2006
SYSC 1.4 Application of SYSC 11 to SYSC 22
…
EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions
As Published: 2015
EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions
…