Search Result
SUP 15.7 Form and method of notification
As Published: 2002
SUP 15.7 Form and method of notification
…
SYSC 9.1 General rules on record-keeping
As Published: 2007
SYSC 9.1 General rules on record-keeping
…
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)
…
SUP 15.3 General notification requirements
As Published: 2004
SUP 15.3 General notification requirements
…
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
…
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
As Published: 2010
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
…
SYSC 4.2 Persons who effectively direct the business
As Published: 2008
SYSC 4.2 Persons who effectively direct the business
…
SUP 16.12 Integrated Regulatory Reporting
As Published: 2006
SUP 16.12 Integrated Regulatory Reporting
…
DEPP 2.5 Provision for certain categories of decision
As Published: 2007
DEPP 2.5 Provision for certain categories of decision
…
SUP 10C.14 Changes to an FCA-approved person’s details
As Published: 2015
SUP 10C.14 Changes to an FCA-approved person’s details
…
SUP 15.11 Notification of COCON breaches and disciplinary action
As Published: 2015
SUP 15.11 Notification of COCON breaches and disciplinary action
…
SYSC 4.8 Senior management responsibilities for third-country relevant authorised persons: allocation of responsibilities
As Published: 2015
SYSC 4.8 Senior management responsibilities for third-country relevant authorised persons: allocation of responsibilities
…