Search Result

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

…

REC 2.9 Transaction recording

As Published: 2004

REC 2.9 Transaction recording

…

SUP 8.3 Applying for a waiver

As Published: 2002

SUP 8.3 Applying for a waiver

…

SUP 16.24 Retirement income data reporting

As Published: 2017

SUP 16.24 Retirement income data reporting

…

SYSC 4.2 Persons who effectively direct the business

As Published: 2008

SYSC 4.2 Persons who effectively direct the business

…

MAR 8.2 Requirements for benchmark submitters [deleted]

As Published: 2018

MAR 8.2 Requirements for benchmark submitters [deleted]

…

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

…

COLL 12.4 UCITS product passport

As Published: 2013

COLL 12.4 UCITS product passport

…

COCON 3.1 General factors for assessing compliance

As Published: 2016

COCON 3.1 General factors for assessing compliance

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

DTR 6.2 Filing information and use of language

LR 9.5 Transactions

MCOB 3A.1 Application and purpose

CASS 1A.2 CASS firm classification

MAR 9.2 Authorisation and verification

SUP 16.17 Remuneration reporting [deleted]

SUP 12.1 Application and purpose

SYSC 4.5

REC 3.22 Restriction of, or instruction to close out, open positions

SYSC 18.3 Internal arrangements

REC 3.24 Transfers of ownership

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)