Search Result
PR 1.2 Requirement for a prospectus and exemptions
As Published: 2009
PR 1.2 Requirement for a prospectus and exemptions
…
SUP 10C.3 General material about the definition of controlled functions
As Published: 2015
SUP 10C.3 General material about the definition of controlled functions
…
EG 6.2 Publicity during, or upon the conclusion of regulatory action
As Published: 2015
EG 6.2 Publicity during, or upon the conclusion of regulatory action
…
SUP 10C.12 Conditional and time-limited approvals
As Published: 2015
SUP 10C.12 Conditional and time-limited approvals
…
EG 19.35 Data Reporting Services Regulations 2017
As Published: 2017
EG 19.35 Data Reporting Services Regulations 2017
…
FEES 10.1 Application, purpose and background
As Published: 2015
FEES 10.1 Application, purpose and background
…
CASS 1A.3 Responsibility for CASS operational oversight
As Published: 2010
CASS 1A.3 Responsibility for CASS operational oversight
…
PERG 2.4 Link between activities and the United Kingdom
As Published: 2007
PERG 2.4 Link between activities and the United Kingdom
…
REC 4.2 The supervisory relationship with UK recognised bodies
As Published: 2007
REC 4.2 The supervisory relationship with UK recognised bodies
…
MAR 5A.5 Systems and controls for algorithmic trading
As Published: 2017
MAR 5A.5 Systems and controls for algorithmic trading
…
REC 4.2D Suspension and removal of financial instruments from trading by the FCA
As Published: 2007
REC 4.2D Suspension and removal of financial instruments from trading by the FCA
…
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order
…
SUP 15.7 Form and method of notification
As Published: 2002
SUP 15.7 Form and method of notification
…