Search Result
MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral
As Published: 2007
MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral
…
SUP 15A.1 Application and notifications under EMIR
As Published: 2013
SUP 15A.1 Application and notifications under EMIR
…
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
…
SUP 16.19 Immigration Act compliance reporting
As Published: 2014
SUP 16.19 Immigration Act compliance reporting
…
SUP 16.13 Reporting under the Payment Services Regulations
As Published: 2010
SUP 16.13 Reporting under the Payment Services Regulations
…
COCON 3.1 General factors for assessing compliance
As Published: 2016
COCON 3.1 General factors for assessing compliance
…
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
…
MIPRU 2.2 Allocation of the responsibility for insurance distribution activity or MCD credit intermediation activity
As Published: 2007
MIPRU 2.2 Allocation of the responsibility for insurance distribution activity or MCD credit intermediation activity
…
COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
As Published: 2006
COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
…