Search Result
EG 7.4 Apportionment of financial penalties
As Published: 2016
EG 7.4 Apportionment of financial penalties
…
EG 6.7 Behaviour in the context of takeover bid
As Published: 2016
EG 6.7 Behaviour in the context of takeover bid
…
COLL 12.3 EEA UCITS management companies
As Published: 2013
COLL 12.3 EEA UCITS management companies
…
COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
As Published: 2006
COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
…
COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
As Published: 2011
COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
…
GEN 4.5 Statements about authorisation and regulation by the appropriate regulator
As Published: 2008
GEN 4.5 Statements about authorisation and regulation by the appropriate regulator
…
DISP 1.10B Payment services and electronic money complaints reporting
As Published: 2018
DISP 1.10B Payment services and electronic money complaints reporting
…
SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative
As Published: 2004
SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative
…
EG 2.11 Senior management responsibility
As Published: 2015
EG 2.11 Senior management responsibility
…
EG 2.5 Cases where other authorities have an interest
As Published: 2016
EG 2.5 Cases where other authorities have an interest
…
COLL 6.9 Independence, names and UCITS business restrictions
As Published: 2006
COLL 6.9 Independence, names and UCITS business restrictions
…
SUP 10C.9 Minimising overlap with the PRA approved persons regime
As Published: 2015
SUP 10C.9 Minimising overlap with the PRA approved persons regime
…
EG 12.3 Criminal prosecutions in cases of market abuse
As Published: 2016
EG 12.3 Criminal prosecutions in cases of market abuse
…
DEPP 6A.2 Deciding whether to take action
As Published: 2013
DEPP 6A.2 Deciding whether to take action
…