Search Result
SUP 10A.5 Significant-influence functions
As Published: 2015
SUP 10A.5 Significant-influence functions
…
REC 2.12 Availability of relevant information and admission of financial instruments to trading
As Published: 2004
REC 2.12 Availability of relevant information and admission of financial instruments to trading
…
COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)
As Published: 2007
COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)
…
SYSC 22.3 Drafting the reference and the request for a reference
As Published: 2016
SYSC 22.3 Drafting the reference and the request for a reference
…
MCOB 12.4 Payment shortfall charges: regulated mortgage contracts
As Published: 2004
MCOB 12.4 Payment shortfall charges: regulated mortgage contracts
…
EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017
As Published: 2016
EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017
…
SYSC 13.8 External events and other changes
As Published: 2016
SYSC 13.8 External events and other changes
…
REC 4.2A Publication of information by UK RIEs and RAPs
As Published: 2007
REC 4.2A Publication of information by UK RIEs and RAPs
…
SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative
As Published: 2004
SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative
…
DTR 1.1 Application and purpose (Disclosure guidance)
As Published: 2005
DTR 1.1 Application and purpose (Disclosure guidance)
…
EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers
As Published: 2016
EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers
…
EG 19.22 Decision making under the Payment Services Regulations
As Published: 2016
EG 19.22 Decision making under the Payment Services Regulations
…
EG 20.3 Decision making under the CCA Order
As Published: 2016
EG 20.3 Decision making under the CCA Order
…