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

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REC 2.16A Operation of a multilateral trading facility

As Published: 2007

REC 2.16A Operation of a multilateral trading facility

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SUP 11.5 Form of notification by firms

As Published: 2004

SUP 11.5 Form of notification by firms

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MAR 4.3 Support of the Takeover Panel's Functions

As Published: 2007

MAR 4.3 Support of the Takeover Panel's Functions

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SUP 14.3 Changes to cross border services

As Published: 2002

SUP 14.3 Changes to cross border services

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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

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REC 2.5 Systems and controls and conflicts

As Published: 2004

REC 2.5 Systems and controls and conflicts

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Similar To

SYSC 7.1 Risk control

COBS 4.11 Record keeping: financial promotion

COBS 10.4 Assessing appropriateness: when it need not be done

CASS 5.5 Segregation and the operation of client money accounts

CASS 6.2 Holding of client assets

DTR 5.4 Aggregation of managed holdings

PERG 4.14 Mortgage activities carried on by professional firms

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

LR 14.3 Continuing obligations

SUP 11.4 Requirements on firms

MIPRU 4.2 Capital resources requirements

SUP 18.3 Insurance business transfers outside the United Kingdom

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