Search Result
MAR 5.3 Notification of establishment of an ATS
As Published: 2004
MAR 5.3 Notification of establishment of an ATS
…
COLL 5.2 General investment powers and limits for UCITS schemes
As Published: 2005
COLL 5.2 General investment powers and limits for UCITS schemes
…
REC 2.6 General safeguards for investors
As Published: 2004
REC 2.6 General safeguards for investors
…
SUP App 3.9 Mapping of the Investment Services Directive , Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of the Investment Services Directive , Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order
…
TC 2.1 Application: who? where? and what?
As Published: 2002
TC 2.1 Application: who? where? and what?
…
REC 3.15 Suspension of services and inability to operate facilities
As Published: 2001
REC 3.15 Suspension of services and inability to operate facilities
…
COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes
As Published: 2004
COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes
…
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
As Published: 2004
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
…
SUP 15.3 General notification requirements
As Published: 2004
SUP 15.3 General notification requirements
…
SYSC 3.2 Areas covered by systems and controls
As Published: 2002
SYSC 3.2 Areas covered by systems and controls
…