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COBS 3.8 Policies, procedures and records
As Published: 2007
COBS 3.8 Policies, procedures and records
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MAR 7A.5 Requirements when acting as a general clearing member
As Published: 2017
MAR 7A.5 Requirements when acting as a general clearing member
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DTR 6.1 Information requirements for issuers of shares and debt securities
As Published: 2006
DTR 6.1 Information requirements for issuers of shares and debt securities
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REC 2A.3 Guidance on RAP recognition requirements
As Published: 2012
REC 2A.3 Guidance on RAP recognition requirements
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MAR 9.1 Application, introduction, approach and structure
As Published: 2017
MAR 9.1 Application, introduction, approach and structure
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SUP 3.6 Firms' cooperation with their auditors
As Published: 2007
SUP 3.6 Firms' cooperation with their auditors
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EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy
As Published: 2015
EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy
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SUP 15A.1 Application and notifications under EMIR
As Published: 2013
SUP 15A.1 Application and notifications under EMIR
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EG 4.1 Notifying the person under investigation where notice is a requirement under section 170
As Published: 2016
EG 4.1 Notifying the person under investigation where notice is a requirement under section 170
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EG 3.5 Official listing investigations (section 97)
As Published: 2016
EG 3.5 Official listing investigations (section 97)
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