Search Result
REC 3.25 Significant breaches of rules and disorderly trading conditions
As Published: 2007
REC 3.25 Significant breaches of rules and disorderly trading conditions
…
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
…
COND 2.3 Threshold condition 3: Close links
As Published: 2004
COND 2.3 Threshold condition 3: Close links
…
LR 17.3 Requirements with continuing application
As Published: 2006
LR 17.3 Requirements with continuing application
…
SUP 15.8 Notification in respect of particular products and services
As Published: 2001
SUP 15.8 Notification in respect of particular products and services
…
SUP 16.3 General provisions on reporting
As Published: 2001
SUP 16.3 General provisions on reporting
…
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
…
SYSC 4.2 Persons who effectively direct the business
As Published: 2008
SYSC 4.2 Persons who effectively direct the business
…
MCOB 1.6 Application to mortgages in relation to the Consumer Credit Act 1974
As Published: 2004
MCOB 1.6 Application to mortgages in relation to the Consumer Credit Act 1974
…
COLL 8.4 Investment and borrowing powers
As Published: 2006
COLL 8.4 Investment and borrowing powers
…
COLL 6.9 Independence, names and UCITS business restrictions
As Published: 2006
COLL 6.9 Independence, names and UCITS business restrictions
…
SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
…
BIPRU 8.7 Consolidated capital resources requirements
As Published: 2007
BIPRU 8.7 Consolidated capital resources requirements
…
SUP 13A.5 EEA firms providing cross border services into the United Kingdom
As Published: 2009
SUP 13A.5 EEA firms providing cross border services into the United Kingdom
…
SYSC 8.1 General outsourcing requirements
As Published: 2006
SYSC 8.1 General outsourcing requirements
…