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SUP 10C.8 The other local responsibility function (SMF22) and EEA branch senior manager functions (SMF21)
As Published: 2015
SUP 10C.8 The other local responsibility function (SMF22) and EEA branch senior manager functions (SMF21)
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REC 4.2F Information gathering power on FCA’s own initiative
As Published: 2013
REC 4.2F Information gathering power on FCA’s own initiative
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LR 17.2 Requirements for listing and listing applications
As Published: 2005
LR 17.2 Requirements for listing and listing applications
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SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
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FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
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MAR 5.10 Operation of an SME growth market
As Published: 2017
MAR 5.10 Operation of an SME growth market
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LR 7.2 The Listing and Premium Listing Principles
As Published: 2009
LR 7.2 The Listing and Premium Listing Principles
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FEES 5.9 Leaving the Financial Ombudsman Service
As Published: 2009
FEES 5.9 Leaving the Financial Ombudsman Service
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DTR 5.5 Acquisition or disposal by issuer of shares
As Published: 2007
DTR 5.5 Acquisition or disposal by issuer of shares
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SYSC 22.8 Additional rules and guidance for all firms
As Published: 2016
SYSC 22.8 Additional rules and guidance for all firms
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EG 4.9 Involvement of FCA supervisors during the investigation phase
As Published: 2016
EG 4.9 Involvement of FCA supervisors during the investigation phase
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EG 19.25 Recognised Auction Platforms Regulations 2011
As Published: 2016
EG 19.25 Recognised Auction Platforms Regulations 2011
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