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COLL 6.9 Independence, names and UCITS business restrictions
As Published: 2006
COLL 6.9 Independence, names and UCITS business restrictions
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EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)
As Published: 2016
EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)
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PERG 4.6 Advising on regulated mortgage contracts
As Published: 2006
PERG 4.6 Advising on regulated mortgage contracts
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SUP 15.6 Inaccurate, false or misleading information
As Published: 2005
SUP 15.6 Inaccurate, false or misleading information
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LR 5.4A Transfer between listing categories
As Published: 2009
LR 5.4A Transfer between listing categories
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EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017
As Published: 2016
EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017
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PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
As Published: 2005
PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
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SUP 15A.1 Application and notifications under EMIR
As Published: 2013
SUP 15A.1 Application and notifications under EMIR
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SUP 6.4 Applications for cancellation of permission
As Published: 2004
SUP 6.4 Applications for cancellation of permission
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EG 19.15 The conduct of investigations under the Money Laundering Regulations
As Published: 2016
EG 19.15 The conduct of investigations under the Money Laundering Regulations
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FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
As Published: 2012
FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
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SUP 10C.15 Forms and other documents and how to submit them to the FCA
As Published: 2015
SUP 10C.15 Forms and other documents and how to submit them to the FCA
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DEPP 8.2 Use of the own-initiative variation of approval power: general
As Published: 2015
DEPP 8.2 Use of the own-initiative variation of approval power: general
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