Search Result
REC 6A.2 Removal of passport rights from EEA market operator
As Published: 2007
REC 6A.2 Removal of passport rights from EEA market operator
…
SYSC 3.2 Areas covered by systems and controls
As Published: 2002
SYSC 3.2 Areas covered by systems and controls
…
MAR 10.5 Other reporting, notifications and information requirements
As Published: 2017
MAR 10.5 Other reporting, notifications and information requirements
…
SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements
As Published: 2001
SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements
…
REC 3.5 Disciplinary action and events relating to members of the management body
As Published: 2013
REC 3.5 Disciplinary action and events relating to members of the management body
…
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
…
MAR 5.10 Operation of an SME growth market
As Published: 2017
MAR 5.10 Operation of an SME growth market
…
PERG 5.12 Link between activities and the United Kingdom
As Published: 2005
PERG 5.12 Link between activities and the United Kingdom
…
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.10 Application for approval and withdrawing an application for approval
As Published: 2015
SUP 10C.10 Application for approval and withdrawing an application for approval
…
PERG 7.3 Does the activity require authorisation?
As Published: 2006
PERG 7.3 Does the activity require authorisation?
…
SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?
As Published: 2004
SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?
…
SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
…
PERG 2.5 Investments and activities: general
As Published: 2006
PERG 2.5 Investments and activities: general
…