Search Result
PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
As Published: 2005
PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
…
PERG 8.20 Additional restriction on the promotion of collective investment schemes
As Published: 2005
PERG 8.20 Additional restriction on the promotion of collective investment schemes
…
TC App 4.1 Appropriate Qualification tables
As Published: 2010
TC App 4.1 Appropriate Qualification tables
…
SUP 10C.5 FCA governing functions: Executive
As Published: 2015
SUP 10C.5 FCA governing functions: Executive
…
BIPRU 1.2 Definition of the trading book
As Published: 2010
BIPRU 1.2 Definition of the trading book
…
SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?
…
MAR 5.10 Operation of an SME growth market
As Published: 2017
MAR 5.10 Operation of an SME growth market
…
FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
…
BIPRU 7.1 Application, purpose, general provisions and non-standard transactions
As Published: 2006
BIPRU 7.1 Application, purpose, general provisions and non-standard transactions
…
EG App 2.1 Purpose, status and application of the guidelines
As Published: 2015
EG App 2.1 Purpose, status and application of the guidelines
…
EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach
As Published: 2016
EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach
…
PERG 4.10A Activities within scope of the Mortgage Credit Directive
As Published: 2015
PERG 4.10A Activities within scope of the Mortgage Credit Directive
…