Search Result
COLL 6.9 Independence, names and UCITS business restrictions
As Published: 2004
COLL 6.9 Independence, names and UCITS business restrictions
…
SUP 12.3 What responsibility does a firm have for its appointed representatives ?
As Published: 2001
SUP 12.3 What responsibility does a firm have for its appointed representatives ?
…
MCOB 1.6 Application in relation to the Consumer Credit Act 1974
As Published: 2004
MCOB 1.6 Application in relation to the Consumer Credit Act 1974
…
REC 6.8 Powers of direction and revocation of recognition orders
As Published: 2001
REC 6.8 Powers of direction and revocation of recognition orders
…
SUP 4.5 Provisions applicable to all actuaries
As Published: 2004
SUP 4.5 Provisions applicable to all actuaries
…
SUP 11.6 Subsequent notification requirements by firms
As Published: 2004
SUP 11.6 Subsequent notification requirements by firms
…
PR 1.2 Requirement for a prospectus and exemptions
As Published: 2005
PR 1.2 Requirement for a prospectus and exemptions
…
SUP 11.8 Changes in the circumstances of existing controllers
As Published: 2004
SUP 11.8 Changes in the circumstances of existing controllers
…
PERG 8.12 Exemptions applying to all controlled activities
As Published: 2005
PERG 8.12 Exemptions applying to all controlled activities
…
REC 2.10 Financial crime and market abuse
As Published: 2004
REC 2.10 Financial crime and market abuse
…
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
…