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

…

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

…

SYSC 12.1 Application

As Published: 2006

SYSC 12.1 Application

…

REC 2.5 Systems and controls and conflicts

As Published: 2004

REC 2.5 Systems and controls and conflicts

…

BIPRU 12.8 Cross-border and intra-group management of liquidity

As Published: 2010

BIPRU 12.8 Cross-border and intra-group management of liquidity

…

BIPRU 7.8 Securities underwriting

As Published: 2007

BIPRU 7.8 Securities underwriting

…

COLL 5.4 Stock lending

As Published: 2007

COLL 5.4 Stock lending

…

SUP 14.2 Changes to branch details

As Published: 2001

SUP 14.2 Changes to branch details

…

SYSC 19A.3 Remuneration principles for banks, building societies and investment firms

As Published: 2011

SYSC 19A.3 Remuneration principles for banks, building societies and investment firms

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

MIPRU 4.4 Calculation of capital resources

BIPRU 13.8 Securities financing transactions

COLL 11.6 Winding up, merger and division of master UCITS

DISP 1.1 Purpose and application

SUP 13A.9 The precautionary measure rule for incoming EEA firms

BIPRU 8.6 Consolidated capital resources

SUP 13.7 Changes to cross border services

BIPRU 4.5 The IRB approach: Specialised lending exposures

BIPRU 7.7 Position risk requirements for collective investment undertakings

BIPRU 1.2 Definition of the trading book

BIPRU 12.7 Liquid assets buffer

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