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

…

SUP 14.3 Changes to cross border services

As Published: 2002

SUP 14.3 Changes to cross border services

…

SUP 9.2 Making a request for individual guidance

As Published: 2005

SUP 9.2 Making a request for individual guidance

…

PERG 7.5 When is it appropriate to apply for a certificate?

As Published: 2005

PERG 7.5 When is it appropriate to apply for a certificate?

…

MIPRU 4.4 Calculation of capital resources

As Published: 2006

MIPRU 4.4 Calculation of capital resources

…

COLL 7.5 Schemes or sub-funds that are not commercially viable

As Published: 2004

COLL 7.5 Schemes or sub-funds that are not commercially viable

…

SUP 5.6 Confidential information and privilege

As Published: 2001

SUP 5.6 Confidential information and privilege

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SYSC 6.1 Compliance

MCOB 4.9 Business loans

COBS 11.5 Record keeping: client orders and transactions

CASS 5.6 Client money distribution

RCB 4.2 Enforcement powers and penalties

CASS 5.4 Non-statutory client money trust

SUP 13A.3 Qualifications for authorisation under the Act

DISP App 1.6 Valuing Relevant Benefits

LR 5.4A Transfer between listing categories: Equity shares

MAR 1.6 Market abuse (manipulating transactions)

COLL 5.5 Cash, borrowing, lending and other provisions

PERG 7.4 Does the article 54 exclusion apply?

DEPP 3.1 The Regulatory Decisions Committee

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