Search Result
COND 2.2 Threshold condition 2: Location of offices
As Published: 2004
COND 2.2 Threshold condition 2: Location of offices
…
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?
…
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
…
SUP 11.3 Requirements on controllers or proposed controllers under the Act
As Published: 2001
SUP 11.3 Requirements on controllers or proposed controllers under the Act
…
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
…
COND 2.4 Threshold condition 4: Adequate resources
As Published: 2004
COND 2.4 Threshold condition 4: Adequate resources
…
COND 2.5 Threshold condition 5: Suitability
As Published: 2004
COND 2.5 Threshold condition 5: Suitability
…
SUP 13A.6 Which rules will an incoming EEA firm be subject to?
As Published: 2006
SUP 13A.6 Which rules will an incoming EEA firm be subject to?
…
COLL 6.9 Independence, names and UCITS business restrictions
As Published: 2004
COLL 6.9 Independence, names and UCITS business restrictions
…
REC 6.1 Introduction and legal background
As Published: 2001
REC 6.1 Introduction and legal background
…
REC 6.7 Notification rules for overseas recognised bodies
As Published: 2001
REC 6.7 Notification rules for overseas recognised bodies
…
SUP 12.6 Continuing obligations of firms with appointed representatives
As Published: 2001
SUP 12.6 Continuing obligations of firms with appointed representatives
…
PERG 9.10 Significance of being an open-ended investment company
As Published: 2005
PERG 9.10 Significance of being an open-ended investment company
…