Search Result

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

…

EG 2.10 Industry guidance

As Published: 2016

EG 2.10 Industry guidance

…

SUP 8.1 Application and purpose

As Published: 2003

SUP 8.1 Application and purpose

…

COLL 12.3 EEA UCITS management companies

As Published: 2013

COLL 12.3 EEA UCITS management companies

…

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

…

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

…

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

…

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)

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SYSC 6.1 Compliance

CASS 7.19 Clearing member client money sub-pools

EG 15.1 Introduction

SUP 12.2 Introduction

EG 5.7 The relevance of settled cases to subsequent action

SUP 18.4 Friendly Society transfers and amalgamations

PERG 8.14 Other financial promotions

SUP 16.13 Reporting under the Payment Services Regulations

SUP 13A.4 EEA firms establishing a branch in the United Kingdom

SUP 16.5 Annual Close Links Reports

SUP 8.9 Decision making

PERG 4.1 Application and purpose

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach