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SYSC 4.2 Persons who effectively direct the business
As Published: 2008
SYSC 4.2 Persons who effectively direct the business
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REC 3.25 Significant breaches of rules and disorderly trading conditions
As Published: 2007
REC 3.25 Significant breaches of rules and disorderly trading conditions
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REC 3.17 Inability to discharge regulatory functions
As Published: 2013
REC 3.17 Inability to discharge regulatory functions
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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?
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MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements
As Published: 2009
MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements
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MAR 7A.3 Requirements for algorithmic trading
As Published: 2017
MAR 7A.3 Requirements for algorithmic trading
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SYSC 9.2 Credit institutions providing account information services or payment initiation services
As Published: 2018
SYSC 9.2 Credit institutions providing account information services or payment initiation services
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SUP 15A.1 Application and notifications under EMIR
As Published: 2013
SUP 15A.1 Application and notifications under EMIR
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SUP App 2.8 Ceasing to effect contracts of insurance
As Published: 2002
SUP App 2.8 Ceasing to effect contracts of insurance
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