Search Result
SYSC 1.4 Application of SYSC 11 to SYSC 21
As Published: 2006
SYSC 1.4 Application of SYSC 11 to SYSC 21
…
BIPRU 8.3 Scope and basic consolidation requirements for non-EEA sub-groups
As Published: 2006
BIPRU 8.3 Scope and basic consolidation requirements for non-EEA sub-groups
…
PR 1.2 Requirement for a prospectus and exemptions
As Published: 2009
PR 1.2 Requirement for a prospectus and exemptions
…
FEES 4.3 Periodic fee payable by firms (other than ICVCs and UCITS qualifiers)
As Published: 2006
FEES 4.3 Periodic fee payable by firms (other than ICVCs and UCITS qualifiers)
…
SUP App 2.15 Run-off plans for closed with-profits funds
As Published: 2005
SUP App 2.15 Run-off plans for closed with-profits funds
…
PR 2.3 Minimum information to be included in a prospectus
As Published: 2007
PR 2.3 Minimum information to be included in a prospectus
…
SUP 5.4 Appointment and reporting process
As Published: 2001
SUP 5.4 Appointment and reporting process
…
MAR 1.4 Market abuse (improper disclosure)
As Published: 2001
MAR 1.4 Market abuse (improper disclosure)
…
COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC
As Published: 2004
COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC
…
COND 2.5 Threshold condition 5: Suitability
As Published: 2004
COND 2.5 Threshold condition 5: Suitability
…
LR 1.3 Information gathering and publication
As Published: 2005
LR 1.3 Information gathering and publication
…
SUP 3.6 Firms' cooperation with their auditors
As Published: 2007
SUP 3.6 Firms' cooperation with their auditors
…
CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties
As Published: 2007
CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties
…
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
As Published: 2004
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
…
MCOB 1.6 Application to mortgages in relation to the Consumer Credit Act 1974
As Published: 2004
MCOB 1.6 Application to mortgages in relation to the Consumer Credit Act 1974
…
SYSC 19A.1 General application and purpose
As Published: 2010
SYSC 19A.1 General application and purpose
…
BIPRU 8.7 Consolidated capital resources requirements
As Published: 2010
BIPRU 8.7 Consolidated capital resources requirements
…
PR 3.2 Filing and publication of prospectus
As Published: 2012
PR 3.2 Filing and publication of prospectus
…
COLL 4.4 Meetings of Unitholders and service of notices
As Published: 2006
COLL 4.4 Meetings of Unitholders and service of notices
…
SUP 5.3 Policy on the use of skilled persons
As Published: 2005
SUP 5.3 Policy on the use of skilled persons
…
REC 3.26 Proposals to make regulatory provision
As Published: 2007
REC 3.26 Proposals to make regulatory provision
…
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
…
LR 10.7 Transactions by specialist companies
As Published: 2010
LR 10.7 Transactions by specialist companies
…