Search Result
REC 4.2D Suspension and removal of financial instruments from trading by the FCA
As Published: 2007
REC 4.2D Suspension and removal of financial instruments from trading by the FCA
…
DEPP 6.5A The five steps for penalties imposed on firms
As Published: 2010
DEPP 6.5A The five steps for penalties imposed on firms
…
IFPRU 11.5 Intra-group financial support
As Published: 2016
IFPRU 11.5 Intra-group financial support
…
MAR 5.10 Operation of an SME growth market
As Published: 2017
MAR 5.10 Operation of an SME growth market
…
CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties
As Published: 2007
CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties
…
SUP 5.3 Policy on the use of skilled persons
As Published: 2005
SUP 5.3 Policy on the use of skilled persons
…
DTR 8.5 Supervision of primary information providers
As Published: 2014
DTR 8.5 Supervision of primary information providers
…
SYSC 4 Annex 1 The main business activities and functions of a relevant authorised person
As Published: 2015
SYSC 4 Annex 1 The main business activities and functions of a relevant authorised person
…
SUP 15.11 Notification of COCON breaches and disciplinary action
As Published: 2015
SUP 15.11 Notification of COCON breaches and disciplinary action
…
ICOBS 4.1 General requirements for insurance intermediaries
As Published: 2007
ICOBS 4.1 General requirements for insurance intermediaries
…
SYSC 4.5 Management responsibilities maps for UK relevant authorised persons
As Published: 2015
SYSC 4.5 Management responsibilities maps for UK relevant authorised persons
…
MAR 7A.3 Requirements for algorithmic trading
As Published: 2017
MAR 7A.3 Requirements for algorithmic trading
…
PERG 2.6 Specified investments: a broad outline
As Published: 2005
PERG 2.6 Specified investments: a broad outline
…
COBS 11.2 Best execution for AIFMs and residual CIS operators
As Published: 2007
COBS 11.2 Best execution for AIFMs and residual CIS operators
…
COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes
As Published: 2006
COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes
…
EG 19.35 Data Reporting Services Regulations 2017
As Published: 2017
EG 19.35 Data Reporting Services Regulations 2017
…
PERG 2.8 Exclusions applicable to particular regulated activities
As Published: 2005
PERG 2.8 Exclusions applicable to particular regulated activities
…