Search Result
COLL 14.4 Income allocation and distribution
As Published: 2016
COLL 14.4 Income allocation and distribution
…
SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background
As Published: 2001
SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background
…
DTR 6.2 Filing information and use of language
As Published: 2012
DTR 6.2 Filing information and use of language
…
COLL 6.10 Senior personnel responsibilities
As Published: 2011
COLL 6.10 Senior personnel responsibilities
…
EG 4.11 Approach to interviews and interview procedures
As Published: 2016
EG 4.11 Approach to interviews and interview procedures
…
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
…
LR 4.3 Approval and publication of listing particulars
As Published: 2016
LR 4.3 Approval and publication of listing particulars
…
EG 9.9 The effect of the FCA’s decision to withdraw approval
As Published: 2016
EG 9.9 The effect of the FCA’s decision to withdraw approval
…
REC 2.5 Systems and controls, algorithmic trading and conflicts
As Published: 2004
REC 2.5 Systems and controls, algorithmic trading and conflicts
…
REC 2A.4 Power and procedure for RAP penalties and censures
As Published: 2012
REC 2A.4 Power and procedure for RAP penalties and censures
…
PERG 16.4 Acting as a depositary of an AIF
As Published: 2019
PERG 16.4 Acting as a depositary of an AIF
…