Search Result
PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance
As Published: 2018
PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance
…
SUP 16.16 Prudent valuation reporting [deleted]
As Published: 2012
SUP 16.16 Prudent valuation reporting [deleted]
…
SYSC 8.1 General outsourcing requirements
As Published: 2006
SYSC 8.1 General outsourcing requirements
…
TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms
As Published: 2017
TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms
…
CASS 1.2 General application: who? what?
As Published: 2003
CASS 1.2 General application: who? what?
…
SUP 10C.15 Forms and other documents and how to submit them to the FCA
As Published: 2015
SUP 10C.15 Forms and other documents and how to submit them to the FCA
…
REC 3.14 Products, services and normal hours of operation
As Published: 2007
REC 3.14 Products, services and normal hours of operation
…
SUP 16.15 Reporting under the Electronic Money Regulations
As Published: 2011
SUP 16.15 Reporting under the Electronic Money Regulations
…
MAR 5.3A Systems and controls for algorithmic trading
As Published: 2017
MAR 5.3A Systems and controls for algorithmic trading
…
COLL 6.10 Senior personnel responsibilities
As Published: 2011
COLL 6.10 Senior personnel responsibilities
…
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
…
REC 4.6 The section 296 power to give directions
As Published: 2007
REC 4.6 The section 296 power to give directions
…
REC 3.15 Suspension of services and inability to operate facilities
As Published: 2007
REC 3.15 Suspension of services and inability to operate facilities
…