Search Result
GENPRU 2.1 Calculation of capital resources requirements
As Published: 2006
GENPRU 2.1 Calculation of capital resources requirements
…
DTR 6.1 Information requirements for issuers of shares and debt securities
As Published: 2006
DTR 6.1 Information requirements for issuers of shares and debt securities
…
DEPP 6.5 Determining the appropriate level of financial penalty
As Published: 2008
DEPP 6.5 Determining the appropriate level of financial penalty
…
COBS 6.1B Retail investment product provider and platform service provider requirements relating to adviser charging and remuneration
As Published: 2010
COBS 6.1B Retail investment product provider and platform service provider requirements relating to adviser charging and remuneration
…
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
…
CASS 9.4 Information to clients concerning custody assets and client money
As Published: 2014
CASS 9.4 Information to clients concerning custody assets and client money
…
BIPRU 12.2 Adequacy of liquidity resources
As Published: 2009
BIPRU 12.2 Adequacy of liquidity resources
…
MAR 5.5 Monitoring compliance with the rules of the MTF
As Published: 2003
MAR 5.5 Monitoring compliance with the rules of the MTF
…
CASS 7.12 Organisational requirements: client money
As Published: 2015
CASS 7.12 Organisational requirements: client money
…
SUP 16.13 Reporting under the Payment Services Regulations
As Published: 2010
SUP 16.13 Reporting under the Payment Services Regulations
…
SUP 9.2 Making a request for individual guidance
As Published: 2005
SUP 9.2 Making a request for individual guidance
…
PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance
As Published: 2005
PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance
…
SUP 10A.11 Minimising overlap with the PRA approved persons regime
As Published: 2013
SUP 10A.11 Minimising overlap with the PRA approved persons regime
…