Search Result

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]

…

COLL 5.1 Introduction

As Published: 2010

COLL 5.1 Introduction

…

DTR 5.8 Procedures for the notification and disclosure of major holdings

As Published: 2007

DTR 5.8 Procedures for the notification and disclosure of major holdings

…

COLL 14.1 Introduction

As Published: 2016

COLL 14.1 Introduction

…

DTR 8.2 Approval as a primary information provider

As Published: 2019

DTR 8.2 Approval as a primary information provider

…

MAR 4.3 Support of the Takeover Panel's Functions

As Published: 2007

MAR 4.3 Support of the Takeover Panel's Functions

…

MCOB 5A.6 Other information

As Published: 2015

MCOB 5A.6 Other information

…

RCB 3.2 Annual confirmations of compliance and asset pool monitor

As Published: 2011

RCB 3.2 Annual confirmations of compliance and asset pool monitor

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

MCOB 5A.4 Provision of a European Standardised Information Sheet (ESIS)

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

FEES 4.2 Obligation to pay periodic fees

MCOB 4.7A Advised sales

SYSC 9.1 General rules on record-keeping

REC 3.15 Suspension of services and inability to operate facilities

SYSC 7.1 Risk control

SYSC 4.5

SUP 16.6 Compliance reports

PRIN 4.1 Principles: MiFID business

DTR 4.1 Annual financial report

CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]