This table lists the main rules contained in the FCA handbook and the MiFID Org Regulation (Regulation (EU) 2017/565) that apply to an FCA authorised corporate finance firm.
It was prepared in October 2018 and is being provided as a precedent on an “as is” basis, i.e. for reference purposes only and without any guarantee of its suitability, accuracy, completeness or compliance with any applicable laws, rules and regulations.
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