Search Result
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
As Published: 2007
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
…
EG 13.10 Applications in relation to voluntary arrangements: the FCA’s policy
As Published: 2016
EG 13.10 Applications in relation to voluntary arrangements: the FCA’s policy
…
CONC 5A.1 Application, purpose and guidance
As Published: 2014
CONC 5A.1 Application, purpose and guidance
…
REC 3.21 Criminal offences and civil prohibitions
As Published: 2013
REC 3.21 Criminal offences and civil prohibitions
…
TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms
As Published: 2017
TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms
…
SUP 10A.5 Significant-influence functions
As Published: 2015
SUP 10A.5 Significant-influence functions
…
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
…
FEES 6.3 The FSCS's power to impose levies
As Published: 2006
FEES 6.3 The FSCS's power to impose levies
…
APER 3.3 Factors relating to Statements of Principle 5 to 7
As Published: 2015
APER 3.3 Factors relating to Statements of Principle 5 to 7
…
SYSC 4.2 Persons who effectively direct the business
As Published: 2008
SYSC 4.2 Persons who effectively direct the business
…
FEES App 1 Annex 2 Further information on fees
As Published: 2019
FEES App 1 Annex 2 Further information on fees
…