Search Result
SYSC 19A.1 General application and purpose
As Published: 2010
SYSC 19A.1 General application and purpose
…
MAR 5A.5 Systems and controls for algorithmic trading
As Published: 2017
MAR 5A.5 Systems and controls for algorithmic trading
…
PERG 15.7 Transitional provisions [deleted]
As Published: 2018
PERG 15.7 Transitional provisions [deleted]
…
TC App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3
As Published: 2007
TC App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3
…
BIPRU 8.7 Consolidated capital resources requirements
As Published: 2010
BIPRU 8.7 Consolidated capital resources requirements
…
PERG 8.32 Arranging deals in investments
As Published: 2017
PERG 8.32 Arranging deals in investments
…
SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?
As Published: 2004
SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?
…
REC 3.14 Products, services and normal hours of operation
As Published: 2007
REC 3.14 Products, services and normal hours of operation
…
PERG 10.4A The application of requirements which implemented EU directives
As Published: 2006
PERG 10.4A The application of requirements which implemented EU directives
…
COLL 6.12 Risk management policy and risk measurement
As Published: 2011
COLL 6.12 Risk management policy and risk measurement
…
SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
…
COLL 6.9 Independence, names and UCITS business restrictions
As Published: 2006
COLL 6.9 Independence, names and UCITS business restrictions
…