Search Result

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 271L, 271N, 271R, 279, 281 and 282B of the Act – powers to revoke recognition of schemes recognised under sections 271A or 272, or issue the operators of such schemes with a public censure: the FCA’s policy

…

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

As Published: 2006

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

…

PERG 2.7 Activities: a broad outline

As Published: 2006

PERG 2.7 Activities: a broad outline

…

DISP 1.1 Purpose and application

As Published: 2001

DISP 1.1 Purpose and application

…

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

As Published: 2004

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

…

BIPRU 11.3 Disclosures: Information to be disclosed; Frequency, media and location of disclosures; Verification

As Published: 2007

BIPRU 11.3 Disclosures: Information to be disclosed; Frequency, media and location of disclosures; Verification

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

BIPRU 7.7 Position risk requirements for collective investment undertakings

CREDS 2.2 General provisions

CASS 5.5 Segregation and the operation of client money accounts

PERG 8.12 Exemptions applying to all controlled activities

REC 2.5 Systems and controls, algorithmic trading and conflicts

BIPRU 7.10 Use of a Value at Risk Model

PERG 16.4 Acting as a depositary of an AIF

SYSC 4.1 General requirements

COLL 13.2 Operational requirements for feeder NURS

IPRU-INV 5.10 Expenditure based requirement

EG 15.4 Disqualification under section 249 or section 261K

SYSC 18.3 Internal arrangements

SUP 18.4 Friendly Society transfers and amalgamations

CASS 7.11 Treatment of client money