Search Result
SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order
…
SYSC 2.1 Apportionment of Responsibilities
As Published: 2002
SYSC 2.1 Apportionment of Responsibilities
…
SUP 8.5 Notification of altered circumstances relating to waivers
As Published: 2001
SUP 8.5 Notification of altered circumstances relating to waivers
…
MAR 6.4 Systematic internaliser reporting requirement
As Published: 2007
MAR 6.4 Systematic internaliser reporting requirement
…
DEPP 2.4 Third party rights and access to FSA material
As Published: 2007
DEPP 2.4 Third party rights and access to FSA material
…
SYSC 13.4 Requirements to notify the FSA
As Published: 2006
SYSC 13.4 Requirements to notify the FSA
…
SUP 7.3 Criteria for varying a firm's permission
As Published: 2004
SUP 7.3 Criteria for varying a firm's permission
…
DTR 1A.1 Application and purpose (Transparency rules)
As Published: 2006
DTR 1A.1 Application and purpose (Transparency rules)
…
PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
As Published: 2005
PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
…
BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives
As Published: 2007
BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives
…
COBS 6.1B Retail investment product provider and platform service provider requirements relating to adviser charging and remuneration
As Published: 2010
COBS 6.1B Retail investment product provider and platform service provider requirements relating to adviser charging and remuneration
…
SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
…