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REC 3.15 Suspension of services and inability to operate facilities
As Published: 2001
REC 3.15 Suspension of services and inability to operate facilities
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PERG 4.11 Link between activities and the United Kingdom
As Published: 2005
PERG 4.11 Link between activities and the United Kingdom
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LR 3.5 Block listing and formal application
As Published: 2005
LR 3.5 Block listing and formal application
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LR 8.2 When a sponsor must be appointed or its assistance obtained
As Published: 2005
LR 8.2 When a sponsor must be appointed or its assistance obtained
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COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
As Published: 2006
COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
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SYSC 2.1 Apportionment of Responsibilities
As Published: 2002
SYSC 2.1 Apportionment of Responsibilities
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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?
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SYSC 1.4 Application of SYSC 11 to SYSC 18
As Published: 2006
SYSC 1.4 Application of SYSC 11 to SYSC 18
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BIPRU 8.3 Scope and basic consolidation requirements for non-EEA sub-groups
As Published: 2006
BIPRU 8.3 Scope and basic consolidation requirements for non-EEA sub-groups
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PR 1.2 Requirement for a prospectus and exemptions
As Published: 2005
PR 1.2 Requirement for a prospectus and exemptions
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SUP 6.3 Applications for variation of permission
As Published: 2001
SUP 6.3 Applications for variation of permission
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FEES 4.3 Periodic fee payable by firms (other than ICVCs and UCITS qualifiers)
As Published: 2006
FEES 4.3 Periodic fee payable by firms (other than ICVCs and UCITS qualifiers)
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SUP App 2.15 Run-off plans for closed with-profits funds
As Published: 2005
SUP App 2.15 Run-off plans for closed with-profits funds
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PR 2.3 Minimum information to be included in a prospectus
As Published: 2005
PR 2.3 Minimum information to be included in a prospectus
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SUP 5.4 Appointment and reporting process
As Published: 2001
SUP 5.4 Appointment and reporting process
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MAR 1.4 Market abuse (improper disclosure)
As Published: 2001
MAR 1.4 Market abuse (improper disclosure)
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COLL 7.3 Winding up a solvent ICVC and terminating a sub-fund of an ICVC
As Published: 2004
COLL 7.3 Winding up a solvent ICVC and terminating a sub-fund of an ICVC
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COND 2.5 Threshold condition 5: Suitability
As Published: 2004
COND 2.5 Threshold condition 5: Suitability
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PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
As Published: 2005
PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
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LR 1.3 Information gathering and publication
As Published: 2005
LR 1.3 Information gathering and publication
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SUP 3.6 Firms' cooperation with their auditors
As Published: 2001
SUP 3.6 Firms' cooperation with their auditors
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BIPRU 11.5 Technical criteria on disclosure: General requirements
As Published: 2007
BIPRU 11.5 Technical criteria on disclosure: General requirements
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MCOB 1.6 Application to mortgages in relation to the Consumer Credit Act 1974
As Published: 2004
MCOB 1.6 Application to mortgages in relation to the Consumer Credit Act 1974
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BIPRU 8.7 Consolidated capital resources requirements
As Published: 2007
BIPRU 8.7 Consolidated capital resources requirements
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LR 13.7 Circulars about purchase of own equity securities
As Published: 2005
LR 13.7 Circulars about purchase of own equity securities
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PR 3.2 Filing and publication of prospectus
As Published: 2005
PR 3.2 Filing and publication of prospectus
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COLL 4.4 Meetings of Unitholders and service of notices
As Published: 2006
COLL 4.4 Meetings of Unitholders and service of notices
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SUP 5.3 Policy on the use of skilled persons
As Published: 2005
SUP 5.3 Policy on the use of skilled persons
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