Search Result
PERG 9.10 Significance of being an open-ended investment company
As Published: 2005
PERG 9.10 Significance of being an open-ended investment company
…
COB 9.4 These provisions have been moved to the Client Assets sourcebook (CASS)
As Published: 2003
COB 9.4 These provisions have been moved to the Client Assets sourcebook (CASS)
…
SUP 5.3 Policy on the use of skilled persons
As Published: 2005
SUP 5.3 Policy on the use of skilled persons
…
SUP 2.3 Information gathering by the FSA on its own initiative: cooperation by firms
As Published: 2007
SUP 2.3 Information gathering by the FSA on its own initiative: cooperation by firms
…
ICOB 6.3 Notification of cancellation by the retail customer
As Published: 2005
ICOB 6.3 Notification of cancellation by the retail customer
…
SUP 13A.5 EEA firms providing cross border services into the United Kingdom
As Published: 2006
SUP 13A.5 EEA firms providing cross border services into the United Kingdom
…
DTR 1A.1 Application and purpose (Transparency rules)
As Published: 2006
DTR 1A.1 Application and purpose (Transparency rules)
…
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]
…
BIPRU 4.7 The IRB approach: Equity exposures
As Published: 2007
BIPRU 4.7 The IRB approach: Equity exposures
…