Search Result
SUP 11.7 Acquisition or increase of control: assessment process and criteria
As Published: 2004
SUP 11.7 Acquisition or increase of control: assessment process and criteria
…
REC 3.20 Disciplinary action relating to members
As Published: 2013
REC 3.20 Disciplinary action relating to members
…
REC 3.17 Inability to discharge regulatory functions
As Published: 2013
REC 3.17 Inability to discharge regulatory functions
…
EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling
As Published: 2016
EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling
…
GEN 4.4 Business for retail clients from non-UK offices
As Published: 2004
GEN 4.4 Business for retail clients from non-UK offices
…
CASS 9.3 Prime brokerage agreement disclosure annex
As Published: 2010
CASS 9.3 Prime brokerage agreement disclosure annex
…
INSPRU 8.2 Special provisions for Lloyd's
As Published: 2009
INSPRU 8.2 Special provisions for Lloyd's
…
REC 3.13 Delegation of relevant functions
As Published: 2011
REC 3.13 Delegation of relevant functions
…
COBS 4.9 Financial promotions with an overseas element
As Published: 2007
COBS 4.9 Financial promotions with an overseas element
…
BIPRU 3.5 Simplified method of calculating risk weights
As Published: 2007
BIPRU 3.5 Simplified method of calculating risk weights
…
COBS 18.5 Residual CIS operators and small authorised UK AIFMs
As Published: 2007
COBS 18.5 Residual CIS operators and small authorised UK AIFMs
…
COLL 5.8 Investment powers and borrowing limits for feeder UCITS
As Published: 2011
COLL 5.8 Investment powers and borrowing limits for feeder UCITS
…
SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative
As Published: 2004
SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative
…