Search Result
REC 2.5 Systems and controls, algorithmic trading and conflicts
As Published: 2004
REC 2.5 Systems and controls, algorithmic trading and conflicts
…
REC 6.7 Notification rules for overseas recognised bodies
As Published: 2013
REC 6.7 Notification rules for overseas recognised bodies
…
EG 11.1 Restitution orders under sections 382, 383 and 384 of the Act: the FCA's general approach
As Published: 2016
EG 11.1 Restitution orders under sections 382, 383 and 384 of the Act: the FCA's general approach
…
REC 4.2D Suspension and removal of financial instruments from trading by the FCA
As Published: 2007
REC 4.2D Suspension and removal of financial instruments from trading by the FCA
…
LR 8.6 Criteria for approval as a sponsor
As Published: 2005
LR 8.6 Criteria for approval as a sponsor
…
SUP 18.4 Friendly Society transfers and amalgamations
As Published: 2019
SUP 18.4 Friendly Society transfers and amalgamations
…
SUP 5.3 Policy on the use of skilled persons
As Published: 2005
SUP 5.3 Policy on the use of skilled persons
…
SUP 10C.11 Statements of responsibilities
As Published: 2015
SUP 10C.11 Statements of responsibilities
…
EG 3.7 Investigations to assist overseas authorities (section 169)
As Published: 2016
EG 3.7 Investigations to assist overseas authorities (section 169)
…
SUP 16.24 Retirement income data reporting
As Published: 2017
SUP 16.24 Retirement income data reporting
…
SUP 10A.13 Application for approval and withdrawing an application for approval
As Published: 2015
SUP 10A.13 Application for approval and withdrawing an application for approval
…
SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms
As Published: 2007
SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms
…