Search Result
LR 10.7 Transactions by specialist companies
As Published: 2005
LR 10.7 Transactions by specialist companies
…
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]
…
MAR 1.4 Market abuse (improper disclosure)
As Published: 2001
MAR 1.4 Market abuse (improper disclosure)
…
SUP 6.3 Applications for variation of permission
As Published: 2001
SUP 6.3 Applications for variation of permission
…
SUP 15.7 Form and method of notification
As Published: 2002
SUP 15.7 Form and method of notification
…
SUP 15.8 Notification in respect of particular products and services
As Published: 2001
SUP 15.8 Notification in respect of particular products and services
…
SUP 5.3 Policy on the use of skilled persons
As Published: 2005
SUP 5.3 Policy on the use of skilled persons
…
SUP 5.4 Appointment and reporting process
As Published: 2001
SUP 5.4 Appointment and reporting process
…
SUP 2.3 Information gathering by the FSA on its own initiative: cooperation by firms
As Published: 2001
SUP 2.3 Information gathering by the FSA on its own initiative: cooperation by firms
…
SUP 16.3 General provisions on reporting
As Published: 2001
SUP 16.3 General provisions on reporting
…
GENPRU 1.2 Adequacy of financial resources
As Published: 2006
GENPRU 1.2 Adequacy of financial resources
…