Search Result
SYSC 8.1 General outsourcing requirements
As Published: 2006
SYSC 8.1 General outsourcing requirements
…
PERG 8.17A Financial promotions concerning insurance mediation activities
As Published: 2005
PERG 8.17A Financial promotions concerning insurance mediation activities
…
SUP 10A.9 Significant management functions
As Published: 2014
SUP 10A.9 Significant management functions
…
REC 4.2D Suspension and removal of financial instruments from trading
As Published: 2007
REC 4.2D Suspension and removal of financial instruments from trading
…
TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
…
SUP 10A.13 Application for approval and withdrawing an application for approval
As Published: 2013
SUP 10A.13 Application for approval and withdrawing an application for approval
…
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)
…
DEPP 1.2 Introduction to statutory notices
As Published: 2011
DEPP 1.2 Introduction to statutory notices
…
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
…
DEPP 6A.3 Determining the appropriate length of the period of suspension or restriction
As Published: 2011
DEPP 6A.3 Determining the appropriate length of the period of suspension or restriction
…