Search Result

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

…

COLL 12.2 UK UCITS management companies

As Published: 2011

COLL 12.2 UK UCITS management companies

…

SUP 10A.9 Significant management functions

As Published: 2013

SUP 10A.9 Significant management functions

…

LR 19.4 Continuing obligations

As Published: 2006

LR 19.4 Continuing obligations

…

SUP 8.9 Decision making

As Published: 2004

SUP 8.9 Decision making

…

SUP 11.9 Changes in close links

As Published: 2004

SUP 11.9 Changes in close links

…

COLL 3.3 Units

As Published: 2007

COLL 3.3 Units

…

SUP 13.3 Establishing a branch in another EEA State

As Published: 2001

SUP 13.3 Establishing a branch in another EEA State

…

REC 4.2B Exercise of passport rights by a UK RIE

As Published: 2007

REC 4.2B Exercise of passport rights by a UK RIE

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

IFPRU 4.2 Standardised approach

SUP 16.3 General provisions on reporting

RCB 3.5 Other notifications

SUP 12.9 Record keeping

SYSC 19B.1 Application

ICOBS 6.1 General

IFPRU 2.1 Application and purpose

LR 8.4 Role of a sponsor: transactions

REC 2.16A Operation of a multilateral trading facility

SUP 2.1 Application and purpose

CASS 6.2 Holding of client assets

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