Search Result
REC 3.22 Restriction of, or instruction to close out, open positions
As Published: 2011
REC 3.22 Restriction of, or instruction to close out, open positions
…
REC 3.17 Inability to discharge regulatory functions
As Published: 2001
REC 3.17 Inability to discharge regulatory functions
…
REC 3.21 Criminal offences and civil prohibitions
As Published: 2001
REC 3.21 Criminal offences and civil prohibitions
…
REC 6.8 Powers of direction and revocation of recognition orders
As Published: 2001
REC 6.8 Powers of direction and revocation of recognition orders
…
REC 4.2E Information: compliance of UK RIEs with the MiFID Regulation and Auction Regulation
As Published: 2007
REC 4.2E Information: compliance of UK RIEs with the MiFID Regulation and Auction Regulation
…
COBS 18.5 Operators of collective investment schemes
As Published: 2007
COBS 18.5 Operators of collective investment schemes
…
COBS 3.8 Policies, procedures and records
As Published: 2007
COBS 3.8 Policies, procedures and records
…
DISP 2.2 Which complaints can be dealt with under the Financial Ombudsman Service?
As Published: 2004
DISP 2.2 Which complaints can be dealt with under the Financial Ombudsman Service?
…
SUP App 2.8 Ceasing to effect contracts of insurance
As Published: 2002
SUP App 2.8 Ceasing to effect contracts of insurance
…
SUP 3.11 Review of auditor’s client assets report
As Published: 2011
SUP 3.11 Review of auditor’s client assets report
…
SUP 14.4 Notices of proposed changes: form and delivery
As Published: 2001
SUP 14.4 Notices of proposed changes: form and delivery
…
SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives
As Published: 2001
SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives
…