Search Result
CASS 6.6 Records, accounts and reconciliations
As Published: 2014
CASS 6.6 Records, accounts and reconciliations
…
DTR 1B.1 Application and purpose (Corporate governance)
As Published: 2008
DTR 1B.1 Application and purpose (Corporate governance)
…
SYSC 3.2 Areas covered by systems and controls
As Published: 2002
SYSC 3.2 Areas covered by systems and controls
…
LR 3.2 Application for admission to listing
As Published: 2005
LR 3.2 Application for admission to listing
…
BIPRU 3.7 Classification of off-balance-sheet items
As Published: 2007
BIPRU 3.7 Classification of off-balance-sheet items
…
COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
As Published: 2007
COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
…
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?
…
SYSC 19A.1 General application and purpose
As Published: 2010
SYSC 19A.1 General application and purpose
…
SUP 7.2 The FCA's powers to set individual requirements and limitations on its own initiative
As Published: 2007
SUP 7.2 The FCA's powers to set individual requirements and limitations on its own initiative
…
PR 5.5 Persons responsible for a prospectus
As Published: 2012
PR 5.5 Persons responsible for a prospectus
…
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
…
IFPRU 6.3 Expectations relating to internal models
As Published: 2014
IFPRU 6.3 Expectations relating to internal models
…
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
As Published: 2006
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
…