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FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
As Published: 2012
FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
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SUP 3.10 Duties of auditors: notification and report on client assets
As Published: 2004
SUP 3.10 Duties of auditors: notification and report on client assets
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COCON 4.2 Specific guidance on senior manager conduct rules
As Published: 2015
COCON 4.2 Specific guidance on senior manager conduct rules
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PERG 7.3 Does the activity require authorisation?
As Published: 2006
PERG 7.3 Does the activity require authorisation?
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SUP 10C.12 Conditional and time-limited approvals
As Published: 2015
SUP 10C.12 Conditional and time-limited approvals
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FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
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COLL 6.9 Independence, names and UCITS business restrictions
As Published: 2006
COLL 6.9 Independence, names and UCITS business restrictions
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COLL 11.3 Co-ordination and information exchange for master and feeder UCITS
As Published: 2013
COLL 11.3 Co-ordination and information exchange for master and feeder UCITS
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DTR 5.8 Procedures for the notification and disclosure of major holdings
As Published: 2007
DTR 5.8 Procedures for the notification and disclosure of major holdings
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SUP 16.17 Remuneration reporting [deleted]
As Published: 2012
SUP 16.17 Remuneration reporting [deleted]
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REC 4.2F Information gathering power on FCA’s own initiative
As Published: 2013
REC 4.2F Information gathering power on FCA’s own initiative
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