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361 - 380 of 590 items.
PERG 8.12 Exemptions applying to all controlled activities
As Published: 2005
PERG 8.12 Exemptions applying to all controlled activities
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REC 4.3 Risk assessments for UK recognised bodies
As Published: 2013
REC 4.3 Risk assessments for UK recognised bodies
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REC 4.2F Information gathering power on FCA’s own initiative
As Published: 2013
REC 4.2F Information gathering power on FCA’s own initiative
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COBS 10.6 When a firm need not assess appropriateness
As Published: 2017
COBS 10.6 When a firm need not assess appropriateness
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REC 3.20 Disciplinary action relating to members
As Published: 2013
REC 3.20 Disciplinary action relating to members
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MAR 6.4A Quotes in respect of non-equity instruments
As Published: 2017
MAR 6.4A Quotes in respect of non-equity instruments
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REC 3.22 Restriction of, or instruction to close out, open positions
As Published: 2011
REC 3.22 Restriction of, or instruction to close out, open positions
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