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
…
SUP 10C.11 Statements of responsibilities
As Published: 2015
SUP 10C.11 Statements of responsibilities
…
SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities
As Published: 2015
SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities
…
REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing
As Published: 2006
REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing
…
PERG 16.5 How AIFMD affects other regulated activities
As Published: 2013
PERG 16.5 How AIFMD affects other regulated activities
…
COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
As Published: 2011
COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
…
DISP 2.6 What is the territorial scope of the relevant jurisdiction?
As Published: 2003
DISP 2.6 What is the territorial scope of the relevant jurisdiction?
…
PERG 4.10A Activities regulated under the Mortgage Credit Directive
As Published: 2015
PERG 4.10A Activities regulated under the Mortgage Credit Directive
…
DISP 2.3 To which activities does the Compulsory Jurisdiction apply?
As Published: 2003
DISP 2.3 To which activities does the Compulsory Jurisdiction apply?
…
REC 5.1 Introduction and legal background
As Published: 2011
REC 5.1 Introduction and legal background
…
SUP 15.6 Inaccurate, false or misleading information
As Published: 2005
SUP 15.6 Inaccurate, false or misleading information
…