Search Result

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy

…

REC 4.5 FCA supervision of action by UK RIEs under their default rules

As Published: 2013

REC 4.5 FCA supervision of action by UK RIEs under their default rules

…

COCON 2.3 Firms: training and breaches

As Published: 2015

COCON 2.3 Firms: training and breaches

…

EG 19.9 Electronic commerce activity directions: the FCA’s policy

As Published: 2016

EG 19.9 Electronic commerce activity directions: the FCA’s policy

…

PERG 13.7 The territorial application of MiFID [deleted]

As Published: 2007

PERG 13.7 The territorial application of MiFID [deleted]

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

MAR 10.4 Position reporting

LR 11.1 Related party transactions

SUP 5.4 Appointment and reporting process

COBS 11.6 Use of dealing commission [deleted]

SUP 14.1 Application and purpose

PERG 2.3 The business element

SUP 16.9 Appointed representatives annual report

COCON 3.1 General factors for assessing compliance

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

SUP 13.5 Notices of intention

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

BIPRU 1.1 Application

SYSC 22.8 Additional rules and guidance for all firms

PERG 6.7 Examples

EG 19.11 Financial Services (Distance Marketing) Regulations 2004

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy

REC 4.5 FCA supervision of action by UK RIEs under their default rules

COCON 2.3 Firms: training and breaches

EG 19.9 Electronic commerce activity directions: the FCA’s policy

PERG 13.7 The territorial application of MiFID [deleted]