Search Result
LR 5.4A Transfer between listing categories: Equity shares
As Published: 2009
LR 5.4A Transfer between listing categories: Equity shares
…
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
As Published: 2004
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
…
PERG 8.12 Exemptions applying to all controlled activities
As Published: 2005
PERG 8.12 Exemptions applying to all controlled activities
…
SUP 11.3 Requirements on controllers or proposed controllers under the Act
As Published: 2001
SUP 11.3 Requirements on controllers or proposed controllers under the Act
…
LR 4.2 Contents and format of listing particulars
As Published: 2005
LR 4.2 Contents and format of listing particulars
…
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
…
COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
As Published: 2005
COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
…
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
As Published: 2006
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
…
LR 8.6 Criteria for approval as a sponsor
As Published: 2005
LR 8.6 Criteria for approval as a sponsor
…
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
…
SUP 14.3 Changes to cross border services
As Published: 2002
SUP 14.3 Changes to cross border services
…
COLL 11.3 Co-ordination and information exchange for master and feeder UCITS
As Published: 2011
COLL 11.3 Co-ordination and information exchange for master and feeder UCITS
…