Search Result

EG 19.2 Friendly Societies Act 1974 (FSA74), Friendly Societies Act 1992 (FSA92), Co-operative and Community Benefit Societies Act 2014 (CCBSA14) and Co-operative and Community Benefit Societies Act (Northern Ireland) 1969 (CCBSA(NI)69)

…

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

EG 19.7 The Open-Ended Investment Companies Regulations 2001

MCOB 5.8 Home purchase plans

SUP 10C.7 Other overall responsibility function (SMF18)

COLL 11.2 Approval of a feeder UCITS

BIPRU 12.7 Liquid assets buffer

COLL 7.2 Suspension and restart of dealings

CONC 2.6 Conduct of business: debt counselling, debt adjusting and providing credit information services

REC 3.6 Constitution and governance

BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives

CONC 4.1 Content of quotations

CONC 10.1 Application and purpose

LR 13.3 Contents of all circulars

LR 15.2 Requirements for listing

MCOB 12.1 Application

CONC 7.18 Notice of sums in arrears under P2P agreements for running-account credit

SUP 10A.6 FCA governing functions

BIPRU 9.10 Reduction in risk-weighted exposure amounts

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

EG 19.2 Friendly Societies Act 1974 (FSA74), Friendly Societies Act 1992 (FSA92), Co-operative and Community Benefit Societies Act 2014 (CCBSA14) and Co-operative and Community Benefit Societies Act (Northern Ireland) 1969 (CCBSA(NI)69)

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?