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]

…

PERG 5.8 The regulated activities: advising on contracts of insurance

As Published: 2013

PERG 5.8 The regulated activities: advising on contracts of insurance

…

EG 12.1 The FCA’s general approach

As Published: 2016

EG 12.1 The FCA’s general approach

…

PERG 8.20 Additional restriction on the promotion of collective investment schemes

As Published: 2005

PERG 8.20 Additional restriction on the promotion of collective investment schemes

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

MCOB 5.5 Provision of illustrations

EG 19.7 The Open-Ended Investment Companies Regulations 2001

SYSC 3.1 Systems and controls

CONC 1.2 Who? What? Where?

DTR 1B.1 Application and purpose (Corporate governance)

APER 4.4 Statement of Principle 4

MAR 1.2 Market Abuse: general

BIPRU 11.4 Technical criteria on disclosure: General criteria

DTR 5.2 Acquisition or disposal of major proportions of voting rights

EG 2.11 Senior management responsibility

EG 4.9 Involvement of FCA supervisors during the investigation phase

PERG 5.13 Appointed representatives

FEES App 1 Annex 1A Application Fees payable

APER 4.1 Statement of Principle 1

MAR 5.3 Trading process requirements

IPRU-INV 5.17 Other assets requirement

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]

PERG 5.8 The regulated activities: advising on contracts of insurance

EG 12.1 The FCA’s general approach

PERG 8.20 Additional restriction on the promotion of collective investment schemes