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MAR 5A.5 Systems and controls for algorithmic trading
As Published: 2017
MAR 5A.5 Systems and controls for algorithmic trading
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COCON 4.2 Specific guidance on senior manager conduct rules
As Published: 2015
COCON 4.2 Specific guidance on senior manager conduct rules
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COBS 18.11 Authorised professional firms
As Published: 2007
COBS 18.11 Authorised professional firms
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SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?
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ICOBS 6.1 Providing product information to customers: general
As Published: 2007
ICOBS 6.1 Providing product information to customers: general
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COLL 9.4 Facilities in the United Kingdom
As Published: 2011
COLL 9.4 Facilities in the United Kingdom
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EG 18.1 Cancellation on the FCA’s own-initiative
As Published: 2016
EG 18.1 Cancellation on the FCA’s own-initiative
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SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation
As Published: 2001
SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation
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EG 20.3 Decision making under the CCA Order
As Published: 2016
EG 20.3 Decision making under the CCA Order
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EG 19.20 Payment Services Regulations 2017
As Published: 2016
EG 19.20 Payment Services Regulations 2017
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CONC 2.5 Conduct of business: credit broking
As Published: 2014
CONC 2.5 Conduct of business: credit broking
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EG 3.3 Reports by skilled persons (section 166)
As Published: 2016
EG 3.3 Reports by skilled persons (section 166)
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REC 2.8 Settlement and clearing facilitation services
As Published: 2004
REC 2.8 Settlement and clearing facilitation services
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PERG 4.15 Mortgage activities carried on by 'packagers'
As Published: 2005
PERG 4.15 Mortgage activities carried on by 'packagers'
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