Search Result
REC 2A.3 Guidance on RAP recognition requirements
As Published: 2012
REC 2A.3 Guidance on RAP recognition requirements
…
COLL 6.11 Risk control and internal reporting
As Published: 2011
COLL 6.11 Risk control and internal reporting
…
COLL 6.6A Duties of AFMs in relation to UCITS schemes
As Published: 2011
COLL 6.6A Duties of AFMs in relation to UCITS schemes
…
SUP 10A.8 Systems and controls functions
As Published: 2013
SUP 10A.8 Systems and controls functions
…
SUP 10A.11 Minimising overlap with the PRA approved persons regime [deleted]
As Published: 2015
SUP 10A.11 Minimising overlap with the PRA approved persons regime [deleted]
…
PERG 8.31 Exclusions for advising on investments
As Published: 2007
PERG 8.31 Exclusions for advising on investments
…
PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
As Published: 2012
PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
…
CONC 7.11 Disclosures relating to “authority” or “status”
As Published: 2014
CONC 7.11 Disclosures relating to “authority” or “status”
…
SUP 10C.13 Variation of conditional and time-limited approvals
As Published: 2015
SUP 10C.13 Variation of conditional and time-limited approvals
…
COBS 10.2 Assessing appropriateness: the obligations
As Published: 2007
COBS 10.2 Assessing appropriateness: the obligations
…
PERG 12.2 Establishing, operating or winding up a personal pension scheme
As Published: 2006
PERG 12.2 Establishing, operating or winding up a personal pension scheme
…
EG 18.1 Cancellation on the FCA’s own-initiative
As Published: 2016
EG 18.1 Cancellation on the FCA’s own-initiative
…
REC 4.6 The section 296 power to give directions
As Published: 2007
REC 4.6 The section 296 power to give directions
…