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

…

GENPRU 3.2 Third-country groups

As Published: 2007

GENPRU 3.2 Third-country groups

…

SUP 15.6 Inaccurate, false or misleading information

As Published: 2005

SUP 15.6 Inaccurate, false or misleading information

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

LR 8.6 Criteria for approval as a sponsor

SUP 7.3 Criteria for varying a firm's permission

REC 4.2C Control over a UK RIE

COLL 4.2 Pre-sale notifications

DISP 1.1 Purpose and application

TC App 3.1 Circumstances in which TC does not apply

FIT 2.1 Honesty, integrity and reputation

REC 2.7 Access to facilities

SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

COND 2.4 Threshold condition 4: Adequate resources

DISP 2.6 What is the territorial scope of the relevant jurisdiction?

SUP 12.9 Record keeping

LR 5.2 Cancelling listing

SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

REC 3.15 Suspension of services and inability to operate facilities

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

GENPRU 3.2 Third-country groups

SUP 15.6 Inaccurate, false or misleading information