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DTR 5.8 Procedures for the notification and disclosure of major holdings
As Published: 2007
DTR 5.8 Procedures for the notification and disclosure of major holdings
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COLL 3.2 The instrument constituting the fund
As Published: 2004
COLL 3.2 The instrument constituting the fund
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IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A PERSONAL INVESTMENT FIRM
As Published: 2015
IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A PERSONAL INVESTMENT FIRM
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LR 8.5 Responsibilities of listed companies
As Published: 2007
LR 8.5 Responsibilities of listed companies
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SUP 16.3 General provisions on reporting
As Published: 2001
SUP 16.3 General provisions on reporting
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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
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PERG 9.4 Collective investment scheme (section 235 of the Act)
As Published: 2011
PERG 9.4 Collective investment scheme (section 235 of the Act)
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CONC App 1.2 Total charge for credit rules for other agreements
As Published: 2015
CONC App 1.2 Total charge for credit rules for other agreements
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FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)
As Published: 2006
FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)
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LR 7.2 The Listing and Premium Listing Principles
As Published: 2009
LR 7.2 The Listing and Premium Listing Principles
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EG 19.23 Electronic Money Regulations 2011
As Published: 2016
EG 19.23 Electronic Money Regulations 2011
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MCOB 13.4 Arrears: provision of information to the customer of a regulated mortgage contract
As Published: 2006
MCOB 13.4 Arrears: provision of information to the customer of a regulated mortgage contract
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PERG 16.2 What types of funds and businesses are caught?
As Published: 2013
PERG 16.2 What types of funds and businesses are caught?
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EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)
As Published: 2016
EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)
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EG 4.14 Joint investigations with the PRA
As Published: 2016
EG 4.14 Joint investigations with the PRA
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