Search Result
COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS
As Published: 2017
COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS
…
SUP 10A.5 Significant-influence functions
As Published: 2015
SUP 10A.5 Significant-influence functions
…
COBS 4.11 Record keeping: financial promotion
As Published: 2007
COBS 4.11 Record keeping: financial promotion
…
COBS 4.2 Fair, clear and not misleading communications
As Published: 2007
COBS 4.2 Fair, clear and not misleading communications
…
EG 5.2 When settlement decisions may take place
As Published: 2016
EG 5.2 When settlement decisions may take place
…
EG 2.8 Enforcement and the FCA's Principles for Business (‘the Principles’)
As Published: 2016
EG 2.8 Enforcement and the FCA's Principles for Business (‘the Principles’)
…
MAR 8.2 Requirements for benchmark submitters [deleted]
As Published: 2018
MAR 8.2 Requirements for benchmark submitters [deleted]
…
COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)
As Published: 2007
COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)
…
EG 5.1 Settlement and the FCA – an overview
As Published: 2016
EG 5.1 Settlement and the FCA – an overview
…
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
As Published: 2010
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
…
INSPRU 8.2 Special provisions for Lloyd's
As Published: 2009
INSPRU 8.2 Special provisions for Lloyd's
…
SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative
As Published: 2004
SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative
…
DISP 1.10B Payment services and electronic money complaints reporting
As Published: 2018
DISP 1.10B Payment services and electronic money complaints reporting
…