Search Result
SUP 5.3 Policy on the use of skilled persons
As Published: 2005
SUP 5.3 Policy on the use of skilled persons
…
SUP 12.8 Termination of a relationship with an appointed representative
As Published: 2004
SUP 12.8 Termination of a relationship with an appointed representative
…
MCOB 13.3 Dealing fairly with customers in arrears: policy and procedures
As Published: 2006
MCOB 13.3 Dealing fairly with customers in arrears: policy and procedures
…
COLL 8.4 Investment and borrowing powers
As Published: 2006
COLL 8.4 Investment and borrowing powers
…
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 ?
…
MAR 4.3 Further Support of the Takeover Panel's Functions
As Published: 2001
MAR 4.3 Further Support of the Takeover Panel's Functions
…
PERG 2.10 Persons carrying on regulated activities who do not need authorisation
As Published: 2005
PERG 2.10 Persons carrying on regulated activities who do not need authorisation
…
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]
…
REC 6.7 Notification rules for overseas recognised bodies
As Published: 2001
REC 6.7 Notification rules for overseas recognised bodies
…