Search Result
REC 2.13 Promotion and maintenance of standards
As Published: 2004
REC 2.13 Promotion and maintenance of standards
…
SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms
As Published: 2007
SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms
…
LR 3.2 Application for admission to listing
As Published: 2005
LR 3.2 Application for admission to listing
…
COLL 6.12 Risk management policy and risk measurement
As Published: 2011
COLL 6.12 Risk management policy and risk measurement
…
COBS 6.1A Adviser charging and remuneration
As Published: 2010
COBS 6.1A Adviser charging and remuneration
…
COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)
As Published: 2007
COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)
…
REC 3.14 Products, services and normal hours of operation
As Published: 2007
REC 3.14 Products, services and normal hours of operation
…
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)
…
REC 3.15 Suspension of services and inability to operate facilities
As Published: 2007
REC 3.15 Suspension of services and inability to operate facilities
…
SUP 15.6 Inaccurate, false or misleading information
As Published: 2005
SUP 15.6 Inaccurate, false or misleading information
…
PERG 8.32 Arranging deals in investments
As Published: 2017
PERG 8.32 Arranging deals in investments
…
SYSC 19A.3 Remuneration principles for IFPRU investment firms
As Published: 2011
SYSC 19A.3 Remuneration principles for IFPRU investment firms
…