Search Result
PERG 2.5 Investments and activities: general
As Published: 2006
PERG 2.5 Investments and activities: general
…
SUP 12.6 Continuing obligations of firms with appointed representatives
As Published: 2001
SUP 12.6 Continuing obligations of firms with appointed representatives
…
REC 4.6 The section 296 power to give directions
As Published: 2001
REC 4.6 The section 296 power to give directions
…
COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
As Published: 2004
COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
…
REC 2.12 Proper markets and disclosure of information (UK RIEs only)
As Published: 2004
REC 2.12 Proper markets and disclosure of information (UK RIEs only)
…
REC 2.2 Method of satisfying the recognition requirements
As Published: 2004
REC 2.2 Method of satisfying the recognition requirements
…
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]
…
SUP 5.3 Policy on the use of skilled persons
As Published: 2005
SUP 5.3 Policy on the use of skilled persons
…
SUP 13.12 Sources of further information
As Published: 2001
SUP 13.12 Sources of further information
…
COND 2.3 Threshold condition 3: Close links
As Published: 2004
COND 2.3 Threshold condition 3: Close links
…