Related provisions for FEES 4.4.8

161 - 176 of 176 items.

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

LR 20.4.3RRP
(1) An issuer's listed miscellaneous securities must be admitted to trading on a RIE's market for listed securities at all times.(2) An issuer must inform the FCA in writing as soon as possible if it has:(a) requested a RIE to admit or re-admit any of its listed miscellaneous securities to trading; or(b) requested a RIE to cancel or suspend trading of any of its listed miscellaneous securities; or(c) been informed by a RIE that the trading of any of its listed miscellaneous securities
SYSC 19D.2.2GRP
(1) The dual-regulated firms Remuneration Code covers all aspects of remuneration that could have a bearing on effective risk management, including salaries, bonuses, long-term incentive plans, options, hiring bonuses, severance packages and pension arrangements.(2) As with other aspects of a firm's systems and controls, in accordance with SYSC 4.1.2R (general organisational requirements) remuneration policies, procedures and practices must be comprehensive and proportionate to