Search Result
PERG 9.6 The investment condition (section 236(3) of the Act): general
As Published: 2009
PERG 9.6 The investment condition (section 236(3) of the Act): general
…
EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative
As Published: 2016
EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative
…
SUP 11.8 Changes in the circumstances of existing controllers
As Published: 2004
SUP 11.8 Changes in the circumstances of existing controllers
…
REC 6.1 Introduction and legal background
As Published: 2007
REC 6.1 Introduction and legal background
…
EG 2.4 Case selection: Unauthorised business
As Published: 2016
EG 2.4 Case selection: Unauthorised business
…
SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
…
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order
…
SUP 10C.15 Forms and other documents and how to submit them to the FCA
As Published: 2015
SUP 10C.15 Forms and other documents and how to submit them to the FCA
…
EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013
As Published: 2016
EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013
…
SUP 16.15 Reporting under the Electronic Money Regulations
As Published: 2011
SUP 16.15 Reporting under the Electronic Money Regulations
…
CONC App 1.3 Exemption of certain credit agreements secured on land
As Published: 2014
CONC App 1.3 Exemption of certain credit agreements secured on land
…
SYSC 21.1 Risk control: guidance on governance arrangements
As Published: 2010
SYSC 21.1 Risk control: guidance on governance arrangements
…
CASS 1.2 General application: who? what?
As Published: 2003
CASS 1.2 General application: who? what?
…
SUP 16.22 Reporting under the Payment Accounts Regulations
As Published: 2016
SUP 16.22 Reporting under the Payment Accounts Regulations
…
COLL 12.3 EEA UCITS management companies
As Published: 2013
COLL 12.3 EEA UCITS management companies
…
SUP 7.2 The FCA's powers to set individual requirements and limitations on its own initiative
As Published: 2007
SUP 7.2 The FCA's powers to set individual requirements and limitations on its own initiative
…
SYSC 4.3A Management body and nomination committee
As Published: 2014
SYSC 4.3A Management body and nomination committee
…