Search Result

SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

…

PRIN 1.2 Clients and the Principles

As Published: 2004

PRIN 1.2 Clients and the Principles

…

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

…

PERG 10.5 Employers and affinity groups (such as trade unions)

As Published: 2006

PERG 10.5 Employers and affinity groups (such as trade unions)

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 6.1 Application and purpose

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

SUP 13A.3 Qualifications for authorisation under the Act

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

SUP 16.1 Application

SYSC 5.1 Skills, knowledge and expertise

SYSC 6.1 Compliance

DISP 1.10 Complaints reporting rules

SUP 18.1 Application

CASS 5.1 Application

SYSC 8.1 General outsourcing requirements

REC 2.5 Systems and controls and conflicts

PERG 8.21 Company statements, announcements and briefings

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

SUP 5.5 Duties of firms

SUP 4.2 Purpose

SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

PRIN 1.2 Clients and the Principles

SUP 11.3 Requirements on controllers or proposed controllers under the Act

PERG 10.5 Employers and affinity groups (such as trade unions)