Search Result
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)
…
SUP 10A.14 Changes to an FCA-approved person's details
As Published: 2014
SUP 10A.14 Changes to an FCA-approved person's details
…
SYSC 4.4 Apportionment of responsibilities
As Published: 2008
SYSC 4.4 Apportionment of responsibilities
…
COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)
As Published: 2007
COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)
…
MAR 5.3A Systems and controls for algorithmic trading
As Published: 2017
MAR 5.3A Systems and controls for algorithmic trading
…
SYSC 3.2 Areas covered by systems and controls
As Published: 2002
SYSC 3.2 Areas covered by systems and controls
…
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)
…
MCOB 1.2 General application: who? what?
As Published: 2005
MCOB 1.2 General application: who? what?
…
MAR 5A.5 Systems and controls for algorithmic trading
As Published: 2017
MAR 5A.5 Systems and controls for algorithmic trading
…
SUP 12.8 Termination of a relationship with an appointed representative or FCA registered tied agent
As Published: 2004
SUP 12.8 Termination of a relationship with an appointed representative or FCA registered tied agent
…
PERG 4.10B Regulation of buy to let lending
As Published: 2016
PERG 4.10B Regulation of buy to let lending
…