Search Result
COLL 7.2 Suspension and restart of dealings
As Published: 2004
COLL 7.2 Suspension and restart of dealings
…
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
…
SUP 13A.6 Which rules will an incoming EEA firm be subject to?
As Published: 2007
SUP 13A.6 Which rules will an incoming EEA firm be subject to?
…
COBS 11.5 Record keeping: client orders and transactions
As Published: 2007
COBS 11.5 Record keeping: client orders and transactions
…
LR 9.4 Documents requiring prior approval
As Published: 2005
LR 9.4 Documents requiring prior approval
…
DTR 5.2 Acquisition or disposal of major proportions of voting rights
As Published: 2007
DTR 5.2 Acquisition or disposal of major proportions of voting rights
…
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
…
COND 2.2 Threshold condition 2: Location of offices
As Published: 2004
COND 2.2 Threshold condition 2: Location of offices
…
COLL 8.4 Investment and borrowing powers
As Published: 2006
COLL 8.4 Investment and borrowing powers
…
FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
…
BIPRU 1.2 Definition of the trading book
As Published: 2007
BIPRU 1.2 Definition of the trading book
…