Search Result
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
…
PERG 2.5 Investments and activities: general
As Published: 2006
PERG 2.5 Investments and activities: general
…
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
…
SUP 3.6 Firms' cooperation with their auditors
As Published: 2007
SUP 3.6 Firms' cooperation with their auditors
…
REC 4.7 The section 297 power to revoke recognition
As Published: 2007
REC 4.7 The section 297 power to revoke recognition
…
PERG 9.4 Collective investment scheme (section 235 of the Act)
As Published: 2005
PERG 9.4 Collective investment scheme (section 235 of the Act)
…
SUP 7.2 The FSA's powers to set individual requirements on its own initiative
As Published: 2007
SUP 7.2 The FSA's powers to set individual requirements on its own initiative
…
LR 4.2 Contents and format of listing particulars
As Published: 2005
LR 4.2 Contents and format of listing particulars
…
COLL 5.2 General investment powers and limits for UCITS schemes
As Published: 2005
COLL 5.2 General investment powers and limits for UCITS schemes
…
REC 3.15 Suspension of services and inability to operate facilities
As Published: 2007
REC 3.15 Suspension of services and inability to operate facilities
…
REC 3.4 Key individuals and internal organisation
As Published: 2007
REC 3.4 Key individuals and internal organisation
…
SUP 13.8 Changes of details: provision of notices to the FSA
As Published: 2001
SUP 13.8 Changes of details: provision of notices to the FSA
…