Search Result
DISP 1.1A Complaints handling requirements for MiFID complaints
As Published: 2017
DISP 1.1A Complaints handling requirements for MiFID complaints
…
PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)
As Published: 2005
PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)
…
SUP 15.9 Notifications by members of financial conglomerates
As Published: 2004
SUP 15.9 Notifications by members of financial conglomerates
…
PERG 10.5 Employers and affinity groups (such as trade unions)
As Published: 2006
PERG 10.5 Employers and affinity groups (such as trade unions)
…
REC 2.5 Systems and controls, algorithmic trading and conflicts
As Published: 2004
REC 2.5 Systems and controls, algorithmic trading and conflicts
…
EG 20.5 Prosecution of criminal offences under the Consumer Credit Act 1974
As Published: 2016
EG 20.5 Prosecution of criminal offences under the Consumer Credit Act 1974
…
MAR 8.2 Requirements for benchmark submitters [deleted]
As Published: 2018
MAR 8.2 Requirements for benchmark submitters [deleted]
…
LR 4.2 Contents and format of listing particulars
As Published: 2012
LR 4.2 Contents and format of listing particulars
…
COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC
As Published: 2004
COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC
…
EG 5.2 When settlement decisions may take place
As Published: 2016
EG 5.2 When settlement decisions may take place
…
SUP 10A.16 How to apply for approval and give notifications
As Published: 2014
SUP 10A.16 How to apply for approval and give notifications
…
SUP 18.4 Friendly Society transfers and amalgamations
As Published: 2019
SUP 18.4 Friendly Society transfers and amalgamations
…
PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
As Published: 2005
PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
…
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
…
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
…