Search Result
LR 8.6 Criteria for approval as a sponsor
As Published: 2005
LR 8.6 Criteria for approval as a sponsor
…
LR 1.2 Modifying rules and consulting the FSA
As Published: 2005
LR 1.2 Modifying rules and consulting the FSA
…
SUP 12.6 Continuing obligations of firms with appointed representatives
As Published: 2001
SUP 12.6 Continuing obligations of firms with appointed representatives
…
SUP 15.7 Form and method of notification
As Published: 2002
SUP 15.7 Form and method of notification
…
SUP 15.8 Notification in respect of particular products and services
As Published: 2001
SUP 15.8 Notification in respect of particular products and services
…
SUP 3.6 Firms' cooperation with their auditors
As Published: 2001
SUP 3.6 Firms' cooperation with their auditors
…
COLL 3.2 The instrument constituting the scheme
As Published: 2004
COLL 3.2 The instrument constituting the scheme
…
SUP 11.8 Changes in the circumstances of existing controllers
As Published: 2004
SUP 11.8 Changes in the circumstances of existing controllers
…
SUP 15.6 Inaccurate, false or misleading information
As Published: 2005
SUP 15.6 Inaccurate, false or misleading information
…
MAR 1.6 Market abuse (manipulating transactions)
As Published: 2001
MAR 1.6 Market abuse (manipulating transactions)
…
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 5.6 Confidential information and privilege
As Published: 2001
SUP 5.6 Confidential information and privilege
…
PR 1.2 Requirement for a prospectus and exemptions
As Published: 2005
PR 1.2 Requirement for a prospectus and exemptions
…
PERG 9.6 The investment condition (section 236(3) of the Act): general
As Published: 2005
PERG 9.6 The investment condition (section 236(3) of the Act): general
…