Search Result
SUP 14.6 Cancelling qualification for authorisation
As Published: 2004
SUP 14.6 Cancelling qualification for authorisation
…
DISP 2.3 Time Limits for referral of complaints to the Financial Ombudsman Service
As Published: 2003
DISP 2.3 Time Limits for referral of complaints to the Financial Ombudsman Service
…
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 ?
…
REC 6.1 Introduction and legal background
As Published: 2001
REC 6.1 Introduction and legal background
…
SYSC 8.1 General outsourcing requirements [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]
As Published: 2006
SYSC 8.1 General outsourcing requirements [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]
…
PERG 8.8 Having an effect in the United Kingdom
As Published: 2005
PERG 8.8 Having an effect in the United Kingdom
…
LR 17.3 Requirements with continuing application
As Published: 2005
LR 17.3 Requirements with continuing application
…
SYSC 1.4 Application of SYSC 11 to SYSC 18
As Published: 2006
SYSC 1.4 Application of SYSC 11 to SYSC 18
…
DISP 2.5 Which firms are subject to the jurisdiction of the Financial Ombudsman Service?
As Published: 2005
DISP 2.5 Which firms are subject to the jurisdiction of the Financial Ombudsman Service?
…
SUP 12.6 Continuing obligations of firms with appointed representatives
As Published: 2001
SUP 12.6 Continuing obligations of firms with appointed representatives
…
FEES 4.2 Obligation to pay periodic fees
As Published: 2006
FEES 4.2 Obligation to pay periodic fees
…