Search Result
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
As Published: 2010
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
…
CASS 1A.3 Responsibility for CASS operational oversight
As Published: 2010
CASS 1A.3 Responsibility for CASS operational oversight
…
IPRU-INV 4.4 FINANCIAL RESOURCE REQUIREMENTS
As Published: 2015
IPRU-INV 4.4 FINANCIAL RESOURCE REQUIREMENTS
…
COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC
As Published: 2004
COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC
…
EG 19.7 The Open-Ended Investment Companies Regulations 2001
As Published: 2016
EG 19.7 The Open-Ended Investment Companies Regulations 2001
…
EG 2.9 FCA guidance and supporting materials
As Published: 2016
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
As Published: 2007
MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral
…
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
…
DEPP 6.6 Financial penalties for late and incomplete submission of reports
As Published: 2010
DEPP 6.6 Financial penalties for late and incomplete submission of reports
…
SUP 16.13 Reporting under the Payment Services Regulations
As Published: 2010
SUP 16.13 Reporting under the Payment Services Regulations
…
DTR 8.2 Approval as a primary information provider
As Published: 2019
DTR 8.2 Approval as a primary information provider
…
COBS 6.1D Product provider requirements relating to consultancy charging and remuneration
As Published: 2011
COBS 6.1D Product provider requirements relating to consultancy charging and remuneration
…
MIPRU 3.2 Professional indemnity insurance requirements
As Published: 2006
MIPRU 3.2 Professional indemnity insurance requirements
…
COBS 18.2 Energy market activity and oil market activity
As Published: 2007
COBS 18.2 Energy market activity and oil market activity
…
CASS 5.8 Safe keeping of client's documents and other assets
As Published: 2010
CASS 5.8 Safe keeping of client's documents and other assets
…
FEES 6.3 The FSCS's power to impose levies
As Published: 2006
FEES 6.3 The FSCS's power to impose levies
…
REC 2.8 Settlement and clearing facilitation services
As Published: 2004
REC 2.8 Settlement and clearing facilitation services
…