Search Result
DEPP 6.5 Determining the appropriate level of financial penalty
As Published: 2008
DEPP 6.5 Determining the appropriate level of financial penalty
…
EG 5.2 When settlement decisions may take place
As Published: 2016
EG 5.2 When settlement decisions may take place
…
SUP 10A.9 Significant management functions [deleted]
As Published: 2014
SUP 10A.9 Significant management functions [deleted]
…
EG 2.8 Enforcement and the FCA's Principles for Business (‘the Principles’)
As Published: 2016
EG 2.8 Enforcement and the FCA's Principles for Business (‘the Principles’)
…
SUP 16.16 Prudent valuation reporting [deleted]
As Published: 2012
SUP 16.16 Prudent valuation reporting [deleted]
…
MAR 8.2 Requirements for benchmark submitters [deleted]
As Published: 2018
MAR 8.2 Requirements for benchmark submitters [deleted]
…
SUP 16.20 Submission of recovery plans and information for resolution plans [deleted]
As Published: 2015
SUP 16.20 Submission of recovery plans and information for resolution plans [deleted]
…
SUP 10A.5 Significant-influence functions
As Published: 2015
SUP 10A.5 Significant-influence functions
…
COLL 5.8 Investment powers and borrowing limits for feeder UCITS
As Published: 2011
COLL 5.8 Investment powers and borrowing limits for feeder UCITS
…
COBS 11.2 Best execution for AIFMs and residual CIS operators
As Published: 2007
COBS 11.2 Best execution for AIFMs and residual CIS operators
…
REC 2.7A Position management and position reporting in relation to commodity derivatives
As Published: 2017
REC 2.7A Position management and position reporting in relation to commodity derivatives
…
DTR 1B.2 Modifying rules and consulting the FCA
As Published: 2008
DTR 1B.2 Modifying rules and consulting the FCA
…
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
As Published: 2010
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
…
CASS 1A.3 Responsibility for CASS operational oversight
As Published: 2010
CASS 1A.3 Responsibility for CASS operational oversight
…