Search Result
EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative
As Published: 2016
EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative
…
SUP 5.4 Appointment and reporting process
As Published: 2016
SUP 5.4 Appointment and reporting process
…
EG 5.1 Settlement and the FCA – an overview
As Published: 2016
EG 5.1 Settlement and the FCA – an overview
…
BIPRU 3.4 Risk weights under the standardised approach to credit risk
As Published: 2006
BIPRU 3.4 Risk weights under the standardised approach to credit risk
…
GENPRU 1.2 Adequacy of financial resources
As Published: 2006
GENPRU 1.2 Adequacy of financial resources
…
MAR 5A.5 Systems and controls for algorithmic trading
As Published: 2017
MAR 5A.5 Systems and controls for algorithmic trading
…
SUP 10A.8 Systems and controls functions
As Published: 2013
SUP 10A.8 Systems and controls functions
…
LR 7.2 The Listing and Premium Listing Principles
As Published: 2009
LR 7.2 The Listing and Premium Listing Principles
…
EG 4.11 Approach to interviews and interview procedures
As Published: 2016
EG 4.11 Approach to interviews and interview procedures
…
SUP 10A.13 Application for approval and withdrawing an application for approval
As Published: 2015
SUP 10A.13 Application for approval and withdrawing an application for approval
…
SUP 16.3 General provisions on reporting
As Published: 2001
SUP 16.3 General provisions on reporting
…
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
As Published: 2010
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
…