Search Result

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

…

DISP App 3.7 Approach to redress at step 1

As Published: 2011

DISP App 3.7 Approach to redress at step 1

…

IPRU-INV 12.1 APPLICATION AND PURPOSE

As Published: 2017

IPRU-INV 12.1 APPLICATION AND PURPOSE

…

PERG 2.5 Investments and activities: general

As Published: 2006

PERG 2.5 Investments and activities: general

…

SUP 4.5 Provisions applicable to all actuaries

As Published: 2004

SUP 4.5 Provisions applicable to all actuaries

…

COLL 6.6B UCITS depositaries

As Published: 2016

COLL 6.6B UCITS depositaries

…

MAR 9.1 Application, approach and structure

As Published: 2017

MAR 9.1 Application, approach and structure

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

CONC 10.2 Prudential resources requirements

RCB 2.2 Applying for registration

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

DISP 1.3 Complaints handling rules

COBS 4.13 UCITS

MAR 5A.5 Systems and controls for algorithmic trading

COLL 6.6A Duties of AFMs in relation to UCITS schemes

IPRU-INV 11.6 ADDITIONAL REQUIREMENTS FOR COLLECTIVE PORTFOLIO MANAGEMENT INVESTMENT FIRMS

COLL 12.2 UK UCITS management companies

CONC 8.3 Pre contract information and advice requirements

IPRU-INV 4.2 PURPOSE

SUP 15A.1 Application and notifications under EMIR

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)