Search Result

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279 and 281 of the Act – powers to revoke recognition of schemes recognised under section 272: the FCA's policy

…

SUP 11.3 Requirements on controllers or proposed controllers under the Act

As Published: 2001

SUP 11.3 Requirements on controllers or proposed controllers under the Act

…

SYSC 19D.3 Remuneration principles

As Published: 2017

SYSC 19D.3 Remuneration principles

…

REC 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts

…

SUP 13.12 Sources of further information

As Published: 2001

SUP 13.12 Sources of further information

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

DISP 1.10 Complaints reporting rules

LR 9.2 Requirements with continuing application

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

LR 9.5 Transactions

SUP 12.7 Notification requirements

REC 3.4 Members of the management body and internal organisation

DISP 1.1 Purpose and application

REC 3.1 Application and purpose

LR 15.6 Notifications and periodic financial information

SUP 3.10 Duties of auditors: notification and report on client assets

COLL 4.8 Notifications for UCITS master-feeder arrangements

LR 18.2 Requirements for listing

COLL 5.1 Introduction

REC 3.13 Delegation of relevant functions

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279 and 281 of the Act – powers to revoke recognition of schemes recognised under section 272: the FCA's policy

SUP 11.3 Requirements on controllers or proposed controllers under the Act

SYSC 19D.3 Remuneration principles

REC 2.5 Systems and controls, algorithmic trading and conflicts

SUP 13.12 Sources of further information