Search Result
REC 2.6 General safeguards for investors
As Published: 2004
REC 2.6 General safeguards for investors
…
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]
…
COLL 8.4 Investment and borrowing powers
As Published: 2006
COLL 8.4 Investment and borrowing powers
…
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
As Published: 2006
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
…
SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
…
PR 1.2 Requirement for a prospectus and exemptions
As Published: 2005
PR 1.2 Requirement for a prospectus and exemptions
…
LR 9.2 Requirements with continuing application
As Published: 2006
LR 9.2 Requirements with continuing application
…
SUP 12.6 Continuing obligations of firms with appointed representatives
As Published: 2001
SUP 12.6 Continuing obligations of firms with appointed representatives
…
CASS 5.5 Segregation and the operation of client money accounts
As Published: 2004
CASS 5.5 Segregation and the operation of client money accounts
…
SYSC 4.2 Persons who effectively direct the business
As Published: 2002
SYSC 4.2 Persons who effectively direct the business
…
SUP 15.3 General notification requirements
As Published: 2004
SUP 15.3 General notification requirements
…
COLL 5.5 Cash, borrowing, lending and other provisions
As Published: 2006
COLL 5.5 Cash, borrowing, lending and other provisions
…
PERG 4.11 Link between activities and the United Kingdom
As Published: 2005
PERG 4.11 Link between activities and the United Kingdom
…
SUP 16.3 General provisions on reporting
As Published: 2001
SUP 16.3 General provisions on reporting
…