Search Result
MAR 7A.3 Requirements for algorithmic trading
As Published: 2017
MAR 7A.3 Requirements for algorithmic trading
…
COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
As Published: 2010
COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
…
EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)
As Published: 2016
EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)
…
EG 2.9 FCA guidance and supporting materials
As Published: 2016
EG 2.9 FCA guidance and supporting materials
…
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
…
SYSC 9.1 General rules on record-keeping
As Published: 2007
SYSC 9.1 General rules on record-keeping
…
PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)
As Published: 2005
PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)
…
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
…
PERG 4.8 Administering a regulated mortgage contract
As Published: 2008
PERG 4.8 Administering a regulated mortgage contract
…
PERG 14.4 Activities relating to home purchase plans
As Published: 2006
PERG 14.4 Activities relating to home purchase plans
…