Search Result
SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
…
SUP 10A.9 Significant management functions
As Published: 2014
SUP 10A.9 Significant management functions
…
CASS 5.5 Segregation and the operation of client money accounts
As Published: 2004
CASS 5.5 Segregation and the operation of client money accounts
…
COLL 6.10 Senior personnel responsibilities
As Published: 2011
COLL 6.10 Senior personnel responsibilities
…
CASS 6.6 Records, accounts and reconciliations
As Published: 2014
CASS 6.6 Records, accounts and reconciliations
…
COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes
As Published: 2006
COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes
…
FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)
As Published: 2006
FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)
…
COLL 6.9 Independence, names and UCITS business restrictions
As Published: 2006
COLL 6.9 Independence, names and UCITS business restrictions
…
ICOBS 8.4 Employers’ Liability Insurance
As Published: 2011
ICOBS 8.4 Employers’ Liability Insurance
…
COLL 6.11 Risk control and internal reporting
As Published: 2011
COLL 6.11 Risk control and internal reporting
…
LR 8.6 Criteria for approval as a sponsor
As Published: 2005
LR 8.6 Criteria for approval as a sponsor
…