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PR 5.5 Persons responsible for a prospectus
As Published: 2012
PR 5.5 Persons responsible for a prospectus
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REC 3.14A Operation of a regulated market or MTF
As Published: 2007
REC 3.14A Operation of a regulated market or MTF
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EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013
As Published: 2016
EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013
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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
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PERG 2.6 Specified investments: a broad outline
As Published: 2005
PERG 2.6 Specified investments: a broad outline
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SUP 10A.9 Significant management functions
As Published: 2014
SUP 10A.9 Significant management functions
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SYSC 19A.3 Remuneration principles for IFPRU investment firms
As Published: 2011
SYSC 19A.3 Remuneration principles for IFPRU investment firms
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SUP 13A.5 EEA firms providing cross border services into the United Kingdom
As Published: 2009
SUP 13A.5 EEA firms providing cross border services into the United Kingdom
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SUP 14.3 Changes to cross border services
As Published: 2002
SUP 14.3 Changes to cross border services
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LR 7.2 The Listing and Premium Listing Principles
As Published: 2009
LR 7.2 The Listing and Premium Listing Principles
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CASS 7.19 Clearing member client money sub-pools
As Published: 2014
CASS 7.19 Clearing member client money sub-pools
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SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents
As Published: 2001
SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents
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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
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