Search Result
SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents
As Published: 2001
SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents
…
DTR 5.8 Procedures for the notification and disclosure of major holdings
As Published: 2007
DTR 5.8 Procedures for the notification and disclosure of major holdings
…
SYSC 4.2 Persons who effectively direct the business
As Published: 2008
SYSC 4.2 Persons who effectively direct the business
…
REC 3.5 Disciplinary action and events relating to key individuals
As Published: 2013
REC 3.5 Disciplinary action and events relating to key individuals
…
REC 4.2A Publication of information by UK RIEs and RAPs
As Published: 2007
REC 4.2A Publication of information by UK RIEs and RAPs
…
SUP 6.4 Applications for cancellation of permission
As Published: 2004
SUP 6.4 Applications for cancellation of permission
…
REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
As Published: 2004
REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
…
REC 2.8 Settlement and clearing facilitation services
As Published: 2004
REC 2.8 Settlement and clearing facilitation services
…
COLL 12.3 EEA UCITS management companies
As Published: 2011
COLL 12.3 EEA UCITS management companies
…
FEES 4.2 Obligation to pay periodic fees
As Published: 2006
FEES 4.2 Obligation to pay periodic fees
…