Search Result
REC 2A.2 Method of satisfying the RAP recognition requirements
As Published: 2013
REC 2A.2 Method of satisfying the RAP recognition requirements
…
SUP 10C.5 FCA governing functions: Executive
As Published: 2015
SUP 10C.5 FCA governing functions: Executive
…
SYSC 2.1 Apportionment of Responsibilities
As Published: 2002
SYSC 2.1 Apportionment of Responsibilities
…
REC 4.2A Publication of information by UK RIEs and RAPs
As Published: 2007
REC 4.2A Publication of information by UK RIEs and RAPs
…
EG 16.1 The FCA’s general approach to making disapplication orders
As Published: 2016
EG 16.1 The FCA’s general approach to making disapplication orders
…
COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
As Published: 2011
COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
…
EG 19.25 Recognised Auction Platforms Regulations 2011Recognised Auction Platforms Regulations 2011
As Published: 2016
EG 19.25 Recognised Auction Platforms Regulations 2011Recognised Auction Platforms Regulations 2011
…
EG 20.3 Decision making under the CCA Order
As Published: 2016
EG 20.3 Decision making under the CCA Order
…
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
…
EG 9.4 Prohibition orders against exempt persons and members of professional firms
As Published: 2016
EG 9.4 Prohibition orders against exempt persons and members of professional firms
…
EG 15.4 Disqualification under section 249 or section 261K
As Published: 2016
EG 15.4 Disqualification under section 249 or section 261K
…
REC 3.4 Members of the management body and internal organisation
As Published: 2007
REC 3.4 Members of the management body and internal organisation
…
SUP 10A.15 References and accurate information
As Published: 2016
SUP 10A.15 References and accurate information
…
MAR 5.3A Systems and controls for algorithmic trading
As Published: 2017
MAR 5.3A Systems and controls for algorithmic trading
…
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)
As Published: 2016
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)
…
PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)
As Published: 2005
PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)
…