Search Result
MCOB 3B.1 Provision of general information
As Published: 2015
MCOB 3B.1 Provision of general information
…
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
…
FEES 2.2 Late Payments and Recovery of Unpaid Fees
As Published: 2006
FEES 2.2 Late Payments and Recovery of Unpaid Fees
…
PERG 12.2 Establishing, operating or winding up a personal pension scheme
As Published: 2006
PERG 12.2 Establishing, operating or winding up a personal pension scheme
…
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
…
PERG 8.31 Exclusions for advising on investments
As Published: 2007
PERG 8.31 Exclusions for advising on investments
…
EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy
As Published: 2016
EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy
…
BIPRU 12.8 Cross-border and intra-group management of liquidity
As Published: 2010
BIPRU 12.8 Cross-border and intra-group management of liquidity
…
COBS 2.1 Acting honestly, fairly and professionally
As Published: 2007
COBS 2.1 Acting honestly, fairly and professionally
…
PERG 2.4 Link between activities and the United Kingdom
As Published: 2007
PERG 2.4 Link between activities and the United Kingdom
…
PR 1.2 Requirement for a prospectus and exemptions
As Published: 2009
PR 1.2 Requirement for a prospectus and exemptions
…