Search Result
SUP 5.2 The appropriate regulator’s power
As Published: 2001
SUP 5.2 The appropriate regulator’s power
…
REC 3.22 Restriction of, or instruction to close out, open positions
As Published: 2011
REC 3.22 Restriction of, or instruction to close out, open positions
…
IFPRU 5.2 Advanced Measurement Approach permission
As Published: 2014
IFPRU 5.2 Advanced Measurement Approach permission
…
DTR 8.3 Criteria for approval as a primary information provider
As Published: 2014
DTR 8.3 Criteria for approval as a primary information provider
…
SUP 10A.5 Significant-influence functions
As Published: 2013
SUP 10A.5 Significant-influence functions
…
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
…
REC 2.8 Settlement and clearing facilitation services
As Published: 2004
REC 2.8 Settlement and clearing facilitation services
…
COBS 4.3 Financial promotions to be identifiable as such
As Published: 2009
COBS 4.3 Financial promotions to be identifiable as such
…
FEES 6.4A Management expenses in respect of relevant schemes
As Published: 2010
FEES 6.4A Management expenses in respect of relevant schemes
…