Search Result

SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

…

MIPRU 4.2 Capital resources requirements

As Published: 2006

MIPRU 4.2 Capital resources requirements

…

SUP 11.5 Form of notification by firms

As Published: 2004

SUP 11.5 Form of notification by firms

…

REC 2.16A Operation of a multilateral trading facility

As Published: 2007

REC 2.16A Operation of a multilateral trading facility

…

SUP 14.3 Changes to cross border services

As Published: 2002

SUP 14.3 Changes to cross border services

…

REC 2.5 Systems and controls and conflicts

As Published: 2004

REC 2.5 Systems and controls and conflicts

…

MAR 4.3 Support of the Takeover Panel's Functions

As Published: 2007

MAR 4.3 Support of the Takeover Panel's Functions

…

ICOBS 4.2 Additional requirements for protection policies for insurance intermediaries and insurers

As Published: 2008

ICOBS 4.2 Additional requirements for protection policies for insurance intermediaries and insurers

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SYSC 7.1 Risk control

CASS 5.5 Segregation and the operation of client money accounts

COBS 4.11 Record keeping: financial promotion

COBS 10.4 Assessing appropriateness: when it need not be done

CASS 6.2 Holding of client assets

DTR 5.4 Aggregation of managed holdings

LR 14.3 Continuing obligations

SUP 18.3 Insurance business transfers outside the United Kingdom

PERG 12.2 Establishing, operating or winding up a personal pension scheme

PERG 4.14 Mortgage activities carried on by professional firms

SUP 11.4 Requirements on firms

REC 2.7 Access to facilities

SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order