Search Result
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
…
CASS 9.5 Reporting to clients on request
As Published: 2014
CASS 9.5 Reporting to clients on request
…
SUP 10A.8 Systems and controls functions
As Published: 2013
SUP 10A.8 Systems and controls functions
…
EG 9.9 The effect of the FCA’s decision to withdraw approval
As Published: 2016
EG 9.9 The effect of the FCA’s decision to withdraw approval
…
FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
…
SUP 10A.12 Procedures relating to FCA-approved persons
As Published: 2014
SUP 10A.12 Procedures relating to FCA-approved persons
…
EG 13.3 Petitions for administration orders or compulsory winding up orders: determining whether a company or partnership is unable to pay its debts
As Published: 2016
EG 13.3 Petitions for administration orders or compulsory winding up orders: determining whether a company or partnership is unable to pay its debts
…
SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative
As Published: 2007
SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative
…
EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017
As Published: 2018
EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017
…
SUP 5.3 Policy on the use of skilled persons
As Published: 2005
SUP 5.3 Policy on the use of skilled persons
…
SUP 16.15 Reporting under the Electronic Money Regulations
As Published: 2011
SUP 16.15 Reporting under the Electronic Money Regulations
…