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PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance
As Published: 2018
PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance
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REC 4.2D Suspension and removal of financial instruments from trading by the FCA
As Published: 2007
REC 4.2D Suspension and removal of financial instruments from trading by the FCA
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COLL 11.3 Co-ordination and information exchange for master and feeder UCITS
As Published: 2013
COLL 11.3 Co-ordination and information exchange for master and feeder UCITS
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REC 3.14 Products, services and normal hours of operation
As Published: 2007
REC 3.14 Products, services and normal hours of operation
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SYSC 4.3A Management body and nomination committee
As Published: 2014
SYSC 4.3A Management body and nomination committee
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BIPRU 2.2 Internal capital adequacy standards
As Published: 2006
BIPRU 2.2 Internal capital adequacy standards
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DISP 1.1A Complaints handling requirements for MiFID complaints
As Published: 2017
DISP 1.1A Complaints handling requirements for MiFID complaints
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EG 19.35 Data Reporting Services Regulations 2017
As Published: 2017
EG 19.35 Data Reporting Services Regulations 2017
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CASS 6.6 Records, accounts and reconciliations
As Published: 2014
CASS 6.6 Records, accounts and reconciliations
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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)
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CASS 7.19 Clearing member client money sub-pools
As Published: 2014
CASS 7.19 Clearing member client money sub-pools
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REC 4.7 The section 297 power to revoke recognition
As Published: 2007
REC 4.7 The section 297 power to revoke recognition
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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
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PERG 9.10 Significance of being an open-ended investment company
As Published: 2005
PERG 9.10 Significance of being an open-ended investment company
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SUP 9.2 Making a request for individual guidance
As Published: 2005
SUP 9.2 Making a request for individual guidance
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