Search Result
REC 3.21 Criminal offences and civil prohibitions
As Published: 2013
REC 3.21 Criminal offences and civil prohibitions
…
IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS
As Published: 2015
IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS
…
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
As Published: 2007
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
…
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
…
MAR 5.3A Systems and controls for algorithmic trading
As Published: 2017
MAR 5.3A Systems and controls for algorithmic trading
…
MAR 5A.5 Systems and controls for algorithmic trading
As Published: 2017
MAR 5A.5 Systems and controls for algorithmic trading
…
IPRU-INV 12.2 FINANCIAL RESOURCES REQUIREMENTS
As Published: 2017
IPRU-INV 12.2 FINANCIAL RESOURCES REQUIREMENTS
…
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
…
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
…
EG 13.7 Petitioning for compulsory winding up of a company already in voluntary winding up
As Published: 2016
EG 13.7 Petitioning for compulsory winding up of a company already in voluntary winding up
…
EG 6.1 Publicity during FCA investigations
As Published: 2016
EG 6.1 Publicity during FCA investigations
…