Search Result

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

…

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

As Published: 2007

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 2.1 Application and purpose

EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers

APER 1.2 Purpose

SUP 16.18 AIFMD reporting

EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling

MAR 10.4 Position reporting

COLL 4.3 Approvals and notifications

SYSC 4 Annex 1

SUP 1A.3 The FCA's approach to supervision

CONC 5.2 Creditworthiness assessment: before agreement [deleted]

IFPRU 3.2 Capital

COLL 8.5 Powers and responsibilities

APER 4.1 Statement of Principle 1

SUP 7.1 Application and purpose

DISP 1.1A Complaints handling requirements for MiFID complaints

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

REC 4.2F Information gathering power on FCA’s own initiative

MIPRU 4.1 Application and purpose

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)