Search Result

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

…

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

…

COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

…

SUP 16.18 AIFMD reporting

As Published: 2013

SUP 16.18 AIFMD reporting

…

MAR 7A.4 Requirements when providing direct electronic access

As Published: 2017

MAR 7A.4 Requirements when providing direct electronic access

…

GEN 4.1 Application

As Published: 2003

GEN 4.1 Application

…

PERG 2.11 Persons who are exempt for credit-related regulated activities

As Published: 2007

PERG 2.11 Persons who are exempt for credit-related regulated activities

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

PERG 13.5 Exemptions from MiFID

SUP 7.2 The FCA's powers to set individual requirements and limitations on its own initiative

MAR 7A.3 Requirements for algorithmic trading

REC 4.2B Exercise of passport rights by a UK RIE

REC 2.14 Rules and consultation

PRIN 3.1 Who?

SUP 1A.1 Application and purpose

SUP 5.5 Duties of firms

PERG 4.1 Application and purpose

MAR 10.3 Position management controls

DEPP 5.1 Settlement decision makers

SUP 15.9 Notifications by members of financial conglomerates

EG 13.10 Applications in relation to voluntary arrangements: the FCA’s policy

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)