Search Result
PERG 16.2 What types of funds and businesses are caught?
As Published: 2013
PERG 16.2 What types of funds and businesses are caught?
…
PR 5.5 Persons responsible for a prospectus
As Published: 2012
PR 5.5 Persons responsible for a prospectus
…
REC 3.15 Suspension of services and inability to operate facilities
As Published: 2007
REC 3.15 Suspension of services and inability to operate facilities
…
COBS 20.2 Treating with-profits policyholders fairly
As Published: 2009
COBS 20.2 Treating with-profits policyholders fairly
…
REC 2.8 Settlement and clearing facilitation services
As Published: 2004
REC 2.8 Settlement and clearing facilitation services
…
SYSC 21.1 Risk control: guidance on governance arrangements
As Published: 2010
SYSC 21.1 Risk control: guidance on governance arrangements
…
IFPRU 4.3 Guidance on internal ratings based approach: high level material
As Published: 2014
IFPRU 4.3 Guidance on internal ratings based approach: high level material
…
SUP 13.7 Changes to cross border services
As Published: 2001
SUP 13.7 Changes to cross border services
…
PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
As Published: 2005
PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
…
COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes
As Published: 2011
COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes
…
MCOB 1.2 General application: who? what?
As Published: 2005
MCOB 1.2 General application: who? what?
…
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
As Published: 2010
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
…