Search Result

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

…

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

As Published: 2005

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

…

SYSC 13.9 Outsourcing

As Published: 2006

SYSC 13.9 Outsourcing

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

FEES 4.3 Periodic fee payable by firms (other than ICVCs and UCITS qualifiers)

DISP 1.11 The Society of Lloyd's

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

BIPRU 2.2 Internal capital adequacy standards

SUP 18.3 Insurance business transfers outside the United Kingdom

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

SUP 8.4 Reliance on waivers

COBS 16.6 Communications to clients - life insurance, long term care insurance and income withdrawals

BIPRU 11.3 Disclosures: Information to be disclosed; Frequency, media and location of disclosures; Verification

ICOBS 5.1 General

COLL 6.4 Title and registers

SUP 3.8 Rights and duties of auditors

BIPRU 7.10 Use of a Value at Risk Model

BIPRU 11.2 Basis of disclosures

RCB 3.2 Annual confirmations of compliance

RCB 2.3 Determination of registration

BIPRU 4.2 The IRB approach: High level material

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading