Search Result
SYSC 22.5 Giving references: additional rules and guidance for all firms
As Published: 2016
SYSC 22.5 Giving references: additional rules and guidance for all firms
…
TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
…
REC 4.2B Exercise of passport rights by a UK RIE [deleted]
As Published: 2007
REC 4.2B Exercise of passport rights by a UK RIE [deleted]
…
COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes
As Published: 2006
COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes
…
PERG 8.12 Exemptions applying to all controlled activities
As Published: 2005
PERG 8.12 Exemptions applying to all controlled activities
…
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
As Published: 2007
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
…
REC 6.7 Notification rules for overseas recognised bodies
As Published: 2013
REC 6.7 Notification rules for overseas recognised bodies
…
REC 3.4 Members of the management body and internal organisation
As Published: 2007
REC 3.4 Members of the management body and internal organisation
…
DTR 5.2 Acquisition or disposal of major proportions of voting rights
As Published: 2007
DTR 5.2 Acquisition or disposal of major proportions of voting rights
…
SUP 16.24 Retirement income data reporting
As Published: 2017
SUP 16.24 Retirement income data reporting
…
REC 4.5 FCA supervision of action by UK RIEs under their default rules
As Published: 2013
REC 4.5 FCA supervision of action by UK RIEs under their default rules
…
REC 3.13 Delegation of relevant functions
As Published: 2011
REC 3.13 Delegation of relevant functions
…