Search Result
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
…
FEES 4.2 Obligation to pay periodic fees
As Published: 2006
FEES 4.2 Obligation to pay periodic fees
…
REC 3.20 Disciplinary action relating to members
As Published: 2001
REC 3.20 Disciplinary action relating to members
…
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
…
SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents
As Published: 2001
SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents
…
COLL 8.4 Investment and borrowing powers
As Published: 2006
COLL 8.4 Investment and borrowing powers
…
LR 17.3 Requirements with continuing application
As Published: 2006
LR 17.3 Requirements with continuing application
…
COLL 5.5 Cash, borrowing, lending and other provisions
As Published: 2006
COLL 5.5 Cash, borrowing, lending and other provisions
…
PERG 13.7 The territorial application of MiFID
As Published: 2007
PERG 13.7 The territorial application of MiFID
…
SUP 15.7 Form and method of notification
As Published: 2002
SUP 15.7 Form and method of notification
…