Search Result

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

…

TC 2.1 Assessing and maintaining competence

As Published: 2002

TC 2.1 Assessing and maintaining competence

…

DISP 1.9 Complaints record rule

As Published: 2011

DISP 1.9 Complaints record rule

…

SYSC 21.1 Risk control: guidance on governance arrangements

As Published: 2010

SYSC 21.1 Risk control: guidance on governance arrangements

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COLL 8.5 Powers and responsibilities

CASS 6.6 Records, accounts and reconciliations

COCON 1.1 Application

COLL 8.3 Investor relations

MAR 5A.5 Systems and controls for algorithmic trading

RCB 2.3 Determination of registration

PRIN 3.1 Who?

SUP 3.1 Application

SYSC 19C.3 Remuneration principles

SUP 10C.10 Application for approval and withdrawing an application for approval

DTR 5.4 Aggregation of managed holdings

GENPRU 3.2 Third-country groups

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

EG 6.2 Publicity during, or upon the conclusion of regulatory action

DEPP 3.2 The operation of the RDC

SUP 10C.14 Changes to an FCA-approved person’s details

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

TC 2.1 Assessing and maintaining competence

DISP 1.9 Complaints record rule

SYSC 21.1 Risk control: guidance on governance arrangements