Search Result

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]

…

SUP 3.5 Auditors' independence

As Published: 2008

SUP 3.5 Auditors' independence

…

EG 7.5 Payment of financial penalties

As Published: 2016

EG 7.5 Payment of financial penalties

…

BIPRU 12.7 Liquid assets buffer

As Published: 2012

BIPRU 12.7 Liquid assets buffer

…

REC 3.7 Auditors

As Published: 2013

REC 3.7 Auditors

…

COLL 7.6 Schemes of arrangement

As Published: 2011

COLL 7.6 Schemes of arrangement

…

EG 2.6 Assisting overseas regulators

As Published: 2016

EG 2.6 Assisting overseas regulators

…

PERG 15.6 Territorial scope

As Published: 2013

PERG 15.6 Territorial scope

…

MCOB 2.8 Record keeping

As Published: 2006

MCOB 2.8 Record keeping

…

SUP 16.10 Verification of firm details

As Published: 2004

SUP 16.10 Verification of firm details

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COLL 4.3 Approvals and notifications

REC 2.9 Transaction recording

REC 3.18 Membership

MAR 5.3A Systems and controls for algorithmic trading

MAR 5A.5 Systems and controls for algorithmic trading

PERG 9.6 The investment condition (section 236(3) of the Act): general

PERG 16.2 What types of funds and businesses are caught?

EG 19.10 Enterprise Act 2002

ICOBS 6.4 Pre- and post-contract information: protection policies

SUP 9.1 Application and purpose

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]