Search Result
REC 3.14A Operation of a regulated market or MTF
As Published: 2007
REC 3.14A Operation of a regulated market or MTF
…
CASS 5.4 Non-statutory client money trust
As Published: 2004
CASS 5.4 Non-statutory client money trust
…
IFPRU 2.3 Supervisory review and evaluation process: internal capital adequacy standards
As Published: 2014
IFPRU 2.3 Supervisory review and evaluation process: internal capital adequacy standards
…
SUP 5.6 Confidential information and privilege
As Published: 2001
SUP 5.6 Confidential information and privilege
…
EG 19.21 The conduct of investigations under the Payment Services Regulations
As Published: 2016
EG 19.21 The conduct of investigations under the Payment Services Regulations
…
SYSC 3.2 Areas covered by systems and controls
As Published: 2002
SYSC 3.2 Areas covered by systems and controls
…
EG 2.15 Decision making in the context of regulatory enforcement action
As Published: 2016
EG 2.15 Decision making in the context of regulatory enforcement action
…
EG 2.5 Cases where other authorities have an interest
As Published: 2016
EG 2.5 Cases where other authorities have an interest
…
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
…
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
…
COLL 13.2 Operational requirements for feeder NURS
As Published: 2012
COLL 13.2 Operational requirements for feeder NURS
…