Search Result

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

…

FEES 5.5B Case fees

As Published: 2013

FEES 5.5B Case fees

…

MCOB 2A.3 Foreign currency loans

As Published: 2019

MCOB 2A.3 Foreign currency loans

…

DTR 6.4 Disclosure of Home State

As Published: 2015

DTR 6.4 Disclosure of Home State

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

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

DISP 1.10A Complaints data publication rules

INSPRU 8.2 Special provisions for Lloyd's

FEES 6.5A The retail pool

CASS 1A.2 CASS firm classification

PERG 8.32 Arranging deals in investments

IPRU-INV 4.4 FINANCIAL RESOURCE REQUIREMENTS

EG 9.2 The FCA’s general policy in this area

EG 12.3 Criminal prosecutions in cases of market abuse

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

SUP 16.10 Verification of firm details

EG 2.9 FCA guidance and supporting materials

MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

REC 3.6 Constitution and governance

REC 3.2 Form and method of notification

SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

FEES 5.5B Case fees

MCOB 2A.3 Foreign currency loans

DTR 6.4 Disclosure of Home State