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

…

BIPRU 4.7 The IRB approach: Equity exposures

As Published: 2007

BIPRU 4.7 The IRB approach: Equity exposures

…

FIT 2.1 Honesty, integrity and reputation

As Published: 2003

FIT 2.1 Honesty, integrity and reputation

…

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

…

PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

…

REC 3.3 Waivers

As Published: 2013

REC 3.3 Waivers

…

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

As Published: 2007

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

BIPRU 12.6 Simplified ILAS

DTR 6.3 Dissemination of information

COBS 20.2 Treating with-profits policyholders fairly

COBS 18.5 Residual CIS operators and small authorised UK AIFMs

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

PERG 2.5 Investments and activities: general

DISP App 1.5 Additional considerations

FEES 1.1 Application and Purpose

DEPP 6.5D Serious financial hardship

COND 2.4 Appropriate resources

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

MAR 5.3A Systems and controls for algorithmic trading