Search Result
EG 19.23 Electronic Money Regulations 2011
As Published: 2016
EG 19.23 Electronic Money Regulations 2011
…
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?
…
DTR 8.5 Supervision of primary information providers
As Published: 2014
DTR 8.5 Supervision of primary information providers
…
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
…
SUP 1A.3 The FCA's approach to supervision
As Published: 2013
SUP 1A.3 The FCA's approach to supervision
…
PERG 9.4 Collective investment scheme (section 235 of the Act)
As Published: 2011
PERG 9.4 Collective investment scheme (section 235 of the Act)
…
EG 12.3 Criminal prosecutions in cases of market abuse
As Published: 2016
EG 12.3 Criminal prosecutions in cases of market abuse
…
LR 10.7 Transactions by specialist companies
As Published: 2010
LR 10.7 Transactions by specialist companies
…