Search Result
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
…
SUP 9.2 Making a request for individual guidance
As Published: 2005
SUP 9.2 Making a request for individual guidance
…
SUP 3.10 Duties of auditors: notification and report on client assets
As Published: 2004
SUP 3.10 Duties of auditors: notification and report on client assets
…
MCOB 10.3 Formula and assumptions for calculating the APR
As Published: 2004
MCOB 10.3 Formula and assumptions for calculating the APR
…
FEES App 1 Annex 4 Glossary of definitions
As Published: 2012
FEES App 1 Annex 4 Glossary of definitions
…
SYSC 4.3 Responsibility of senior personnel
As Published: 2007
SYSC 4.3 Responsibility of senior personnel
…
SYSC 9.1 General rules on record-keeping
As Published: 2007
SYSC 9.1 General rules on record-keeping
…
COLL 3.2 The instrument constituting the scheme
As Published: 2004
COLL 3.2 The instrument constituting the scheme
…
PERG 14.6 Carrying on a regulated activity in the United Kingdom
As Published: 2010
PERG 14.6 Carrying on a regulated activity in the United Kingdom
…
PERG 14.4A Activities relating to regulated sale and rent back agreements
As Published: 2010
PERG 14.4A Activities relating to regulated sale and rent back agreements
…
DEPP 6A.4 The interaction between the power to impose suspensions or restrictions and the power to impose penalties or public censures
As Published: 2013
DEPP 6A.4 The interaction between the power to impose suspensions or restrictions and the power to impose penalties or public censures
…
REC 3.4 Key individuals and internal organisation
As Published: 2007
REC 3.4 Key individuals and internal organisation
…
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?
…