Search Result
SUP 10A.12 Procedures relating to FCA-approved persons
As Published: 2014
SUP 10A.12 Procedures relating to FCA-approved persons
…
SUP 9.2 Making a request for individual guidance
As Published: 2005
SUP 9.2 Making a request for individual guidance
…
CONC 11.2 Right of withdrawal: P2P agreements
As Published: 2015
CONC 11.2 Right of withdrawal: P2P agreements
…
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
As Published: 2006
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
…
DISP App 3.2 The assessment of a complaint
As Published: 2017
DISP App 3.2 The assessment of a complaint
…
MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral
As Published: 2007
MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral
…
CASS 5.4 Non-statutory client money trust
As Published: 2004
CASS 5.4 Non-statutory client money trust
…
MAR 10.5 Other reporting, notifications and information requirements
As Published: 2017
MAR 10.5 Other reporting, notifications and information requirements
…
COLL 8.6 Termination, suspension, and schemes of arrangement
As Published: 2008
COLL 8.6 Termination, suspension, and schemes of arrangement
…
EG 11.2 Criteria for determining whether to exercise powers to obtain restitution
As Published: 2016
EG 11.2 Criteria for determining whether to exercise powers to obtain restitution
…
COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme
As Published: 2013
COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme
…
BIPRU 4.2 The IRB approach: High level material
As Published: 2006
BIPRU 4.2 The IRB approach: High level material
…
TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms
As Published: 2017
TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms
…