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MAR 5A.5 Systems and controls for algorithmic trading
As Published: 2017
MAR 5A.5 Systems and controls for algorithmic trading
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COLL 6.6A Duties of AFMs in relation to UCITS schemes
As Published: 2011
COLL 6.6A Duties of AFMs in relation to UCITS schemes
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SUP 15A.1 Application and notifications under EMIR
As Published: 2013
SUP 15A.1 Application and notifications under EMIR
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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)
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SUP 4.5 Provisions applicable to all actuaries
As Published: 2004
SUP 4.5 Provisions applicable to all actuaries
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LR 8.2 When a sponsor must be appointed or its guidance obtained
As Published: 2007
LR 8.2 When a sponsor must be appointed or its guidance obtained
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SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?
As Published: 2004
SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?
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COBS 19.5 Independent governance committees (IGCs) and publication and disclosure of costs and charges
As Published: 2015
COBS 19.5 Independent governance committees (IGCs) and publication and disclosure of costs and charges
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PERG 13.3 Investment Services and Activities
As Published: 2012
PERG 13.3 Investment Services and Activities
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SUP 10C.11 Statements of responsibilities
As Published: 2015
SUP 10C.11 Statements of responsibilities
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COBS 20.2 Treating with-profits policyholders fairly
As Published: 2009
COBS 20.2 Treating with-profits policyholders fairly
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DEPP 6.2 Deciding whether to take action
As Published: 2007
DEPP 6.2 Deciding whether to take action
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