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

…

DTR 8.5 Supervision of primary information providers

As Published: 2014

DTR 8.5 Supervision of primary information providers

…

SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

As Published: 2002

SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

…

SUP 5.6 Confidential information and privilege

As Published: 2001

SUP 5.6 Confidential information and privilege

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

IFPRU 3.2 Capital

SUP 8.3 Applying for a waiver

SUP 16.15 Reporting under the Electronic Money Regulations

REC 5.2 Application process

IFPRU 8.2 Large Exposures

SUP 10A.9 Significant management functions

BIPRU 7.6 Option PRR

COND 2.7 Business model

IFPRU 4.14 Counterparty credit risk

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

BIPRU 1.3 Applications for advanced approaches and waivers

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

DTR 4.1 Annual financial report

LR 15.2 Requirements for listing

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

COLL 8.4 Investment and borrowing powers

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

DTR 8.5 Supervision of primary information providers

SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

SUP 5.6 Confidential information and privilege