Search Result

SUP App 3.9 Mapping of the Investment Services Directive , Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

…

COLL 8.5 Powers and responsibilities

As Published: 2004

COLL 8.5 Powers and responsibilities

…

COB 10.1 Application

As Published: 2001

COB 10.1 Application

…

MAR 5.4 Requirements to be imposed on the Part IV permission of an ATS operator

As Published: 2004

MAR 5.4 Requirements to be imposed on the Part IV permission of an ATS operator

…

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

…

CASS 5.8 Safe keeping of client's documents and other assets

As Published: 2005

CASS 5.8 Safe keeping of client's documents and other assets

…

TC 2.1 Application: who? where? and what?

As Published: 2002

TC 2.1 Application: who? where? and what?

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

LR 9.6 Notifications

PERG 4.11 Link between activities and the United Kingdom

SUP 13.4 Providing cross border services into another EEA State

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

CRED 10.1 Application and purpose

REC 2.17 Recognition requirements relating to the default rules of UK recognised bodies

REC 3.18 Membership

SUP 12.5 Contracts: required terms

REC 5.2 Application process

PERG 7.3 Does the activity require authorisation?

SUP 18.1 Application

ICOB 8.4 Unsolicited services

SUP 7.3 Criteria for varying a firm's permission

SUP App 3.9 Mapping of the Investment Services Directive , Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order