Search Result

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation [deleted]

…

FEES 5.8 Joining the Financial Ombudsman Service

As Published: 2009

FEES 5.8 Joining the Financial Ombudsman Service

…

GEN 4.4 Business for retail clients from non-UK offices

As Published: 2004

GEN 4.4 Business for retail clients from non-UK offices

…

MCOB 9.3 Pre-application disclosure

As Published: 2004

MCOB 9.3 Pre-application disclosure

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COLL 4.5 Reports and accounts

PERG 8.37 AIFMD Marketing

COLL 2.1 Authorised fund applications

REC 2A.4 Power and procedure for RAP penalties and censures

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

EG 2.8 Enforcement and the FCA's Principles for Business (‘the Principles’)

PERG 9.1 Application and Purpose

SUP 8.9 Decision making

SUP 7.1 Application and purpose

FEES 6.4 Management expenses

COLL 12.2 UK UCITS management companies

REC 3.24 Transfers of ownership

EG 19.3 Credit Unions Act 1979 (CUA79) and Credit Unions (Northern Ireland) Order 1985 (CU(NI)O85)

DTR 1C.1 Application and purpose (Primary information providers)

SUP 3.3 Appointment of auditors

DTR 5.2 Acquisition or disposal of major proportions of voting rights

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation [deleted]