Search Result
CASS 11.3 Responsibility for CASS operational oversight
As Published: 2015
CASS 11.3 Responsibility for CASS operational oversight
…
MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral
As Published: 2007
MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral
…
SYSC 3.2 Areas covered by systems and controls
As Published: 2002
SYSC 3.2 Areas covered by systems and controls
…
EG 19.27 Alternative Investment Fund Managers Regulations 2013
As Published: 2016
EG 19.27 Alternative Investment Fund Managers Regulations 2013
…
SUP 15.8 Notification in respect of particular products and services
As Published: 2001
SUP 15.8 Notification in respect of particular products and services
…
DEPP 6.2 Deciding whether to take action
As Published: 2007
DEPP 6.2 Deciding whether to take action
…
SYSC 4.3A Management body and nomination committee
As Published: 2014
SYSC 4.3A Management body and nomination committee
…
COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
As Published: 2005
COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
…
SUP 16.21 Reporting under the MCD Order for CBTL firms
As Published: 2016
SUP 16.21 Reporting under the MCD Order for CBTL firms
…
PERG 13.3 Investment Services and Activities
As Published: 2012
PERG 13.3 Investment Services and Activities
…
SUP 16.22 Reporting under the Payment Accounts Regulations
As Published: 2016
SUP 16.22 Reporting under the Payment Accounts Regulations
…
MCOB 1.6 Distinguishing regulated mortgage contracts and regulated credit agreements
As Published: 2004
MCOB 1.6 Distinguishing regulated mortgage contracts and regulated credit agreements
…
PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance
As Published: 2018
PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance
…
SUP 6.4 Applications for cancellation of permission
As Published: 2004
SUP 6.4 Applications for cancellation of permission
…
EG 19.9 Electronic commerce activity directions: the FCA’s policy [deleted]
As Published: 2016
EG 19.9 Electronic commerce activity directions: the FCA’s policy [deleted]
…