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CONC 7.11 Disclosures relating to “authority” or “status”
As Published: 2014
CONC 7.11 Disclosures relating to “authority” or “status”
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SUP 15A.1 Application and notifications under EMIR
As Published: 2013
SUP 15A.1 Application and notifications under EMIR
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PERG 8.9 Circumstances where the restriction in section 21 does not apply
As Published: 2005
PERG 8.9 Circumstances where the restriction in section 21 does not apply
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REC 2.16B Operation of a data reporting service
As Published: 2017
REC 2.16B Operation of a data reporting service
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SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?
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LR 8.5 Responsibilities of listed companies
As Published: 2007
LR 8.5 Responsibilities of listed companies
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DTR 1.1 Application and purpose (Disclosure guidance)
As Published: 2005
DTR 1.1 Application and purpose (Disclosure guidance)
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TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms
As Published: 2017
TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms
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COLL 9.1 Application and general information
As Published: 2004
COLL 9.1 Application and general information
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PERG 10.4 Pension scheme service providers other than trustees
As Published: 2006
PERG 10.4 Pension scheme service providers other than trustees
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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
As Published: 2016
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
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CASS 5.8 Safe keeping of client's documents and other assets
As Published: 2010
CASS 5.8 Safe keeping of client's documents and other assets
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