Search Result
SUP 10C.14 Changes to an FCA-approved person’s details
As Published: 2015
SUP 10C.14 Changes to an FCA-approved person’s details
…
SYSC 4.6 Management responsibilities maps for non-UK relevant authorised persons
As Published: 2015
SYSC 4.6 Management responsibilities maps for non-UK relevant authorised persons
…
PERG 13.7 The territorial application of MiFID
As Published: 2007
PERG 13.7 The territorial application of MiFID
…
REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
As Published: 2004
REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
…
SUP 10A.9 Significant management functions
As Published: 2014
SUP 10A.9 Significant management functions
…
DTR 8.2 Approval as a primary information provider
As Published: 2014
DTR 8.2 Approval as a primary information provider
…
COBS 6.1 Information about the firm and compensation information
As Published: 2007
COBS 6.1 Information about the firm and compensation information
…
COLL 12.3 EEA UCITS management companies
As Published: 2013
COLL 12.3 EEA UCITS management companies
…
MIPRU 4.2 Capital resources requirements
As Published: 2006
MIPRU 4.2 Capital resources requirements
…
SUP 3.11 Review of auditor’s client assets report
As Published: 2011
SUP 3.11 Review of auditor’s client assets report
…
SYSC 21.1 Risk control: guidance on governance arrangements
As Published: 2010
SYSC 21.1 Risk control: guidance on governance arrangements
…