Search Result
COLL 6.12 Risk management policy and risk measurement
As Published: 2011
COLL 6.12 Risk management policy and risk measurement
…
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?
…
PERG 5.12 Link between activities and the United Kingdom
As Published: 2005
PERG 5.12 Link between activities and the United Kingdom
…
MCOB 6A.5 MCD distance contracts with retail customers
As Published: 2019
MCOB 6A.5 MCD distance contracts with retail customers
…
DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?
As Published: 2008
DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?
…
EG 13.5 Petitions for administration orders or compulsory winding up orders: determining which insolvency order to seek
As Published: 2016
EG 13.5 Petitions for administration orders or compulsory winding up orders: determining which insolvency order to seek
…
REC 2.7A Position management and position reporting in relation to commodity derivatives
As Published: 2017
REC 2.7A Position management and position reporting in relation to commodity derivatives
…
COBS 5.1 The distance marketing disclosure rules
As Published: 2007
COBS 5.1 The distance marketing disclosure rules
…
SUP 6.1 Application, interpretation and purpose
As Published: 2004
SUP 6.1 Application, interpretation and purpose
…
MAR 7A.3 Requirements for algorithmic trading
As Published: 2017
MAR 7A.3 Requirements for algorithmic trading
…
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
As Published: 2006
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
…
SUP 11.3 Requirements on controllers or proposed controllers under the Act
As Published: 2001
SUP 11.3 Requirements on controllers or proposed controllers under the Act
…