Search Result
MAR 5.3A Systems and controls for algorithmic trading
As Published: 2017
MAR 5.3A Systems and controls for algorithmic trading
…
MAR 5A.5 Systems and controls for algorithmic trading
As Published: 2017
MAR 5A.5 Systems and controls for algorithmic trading
…
SYSC 22.7 Getting references: additional rules and guidance for SMCR firms
As Published: 2016
SYSC 22.7 Getting references: additional rules and guidance for SMCR firms
…
SUP 15A.1 Application and notifications under EMIR
As Published: 2013
SUP 15A.1 Application and notifications under EMIR
…
CONC 3.11 Not approving certain financial promotions
As Published: 2014
CONC 3.11 Not approving certain financial promotions
…
SUP 3.6 Firms' cooperation with their auditors
As Published: 2007
SUP 3.6 Firms' cooperation with their auditors
…
BIPRU 1.3 Applications for advanced approaches and waivers
As Published: 2006
BIPRU 1.3 Applications for advanced approaches and waivers
…
BIPRU 8.2 Scope and basic consolidation requirements for UK consolidation groups
As Published: 2007
BIPRU 8.2 Scope and basic consolidation requirements for UK consolidation groups
…
SUP 13A.6 Which rules will an incoming EEA firm be subject to?
As Published: 2007
SUP 13A.6 Which rules will an incoming EEA firm be subject to?
…
SYSC 22.2 Getting, giving and updating references: the main rules
As Published: 2016
SYSC 22.2 Getting, giving and updating references: the main rules
…
PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
As Published: 2012
PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
…
LR 6.2 Historical financial information requirements
As Published: 2017
LR 6.2 Historical financial information requirements
…
COLL 7.2 Suspension and restart of dealings
As Published: 2008
COLL 7.2 Suspension and restart of dealings
…
DTR 2.2 Disclosure of inside information
As Published: 2016
DTR 2.2 Disclosure of inside information
…
DTR 1A.3 FCA may require the publication of information
As Published: 2012
DTR 1A.3 FCA may require the publication of information
…
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
…