Search Result
COLL 6.12 Risk management policy and risk measurement
As Published: 2011
COLL 6.12 Risk management policy and risk measurement
…
SYSC 4.5 Management responsibilities maps for UK relevant authorised persons
As Published: 2015
SYSC 4.5 Management responsibilities maps for UK relevant authorised persons
…
DEPP 2.5 Provision for certain categories of decision
As Published: 2007
DEPP 2.5 Provision for certain categories of decision
…
ICOBS 8.4 Employers’ Liability Insurance
As Published: 2011
ICOBS 8.4 Employers’ Liability Insurance
…
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
…
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 12.3 EEA UCITS management companies
As Published: 2013
COLL 12.3 EEA UCITS management companies
…
SYSC 2.1 Apportionment of Responsibilities
As Published: 2002
SYSC 2.1 Apportionment of Responsibilities
…
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order
…
PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
As Published: 2005
PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
…
CASS 6.6 Records, accounts and reconciliations
As Published: 2014
CASS 6.6 Records, accounts and reconciliations
…
SYSC 4.4 Apportionment of responsibilities
As Published: 2008
SYSC 4.4 Apportionment of responsibilities
…
DEPP 6.2 Deciding whether to take action
As Published: 2007
DEPP 6.2 Deciding whether to take action
…
SUP 10C.11 Statements of responsibilities
As Published: 2015
SUP 10C.11 Statements of responsibilities
…
PERG 2.8 Exclusions applicable to particular regulated activities
As Published: 2005
PERG 2.8 Exclusions applicable to particular regulated activities
…
SUP 13.3 Establishing a branch in another EEA State
As Published: 2001
SUP 13.3 Establishing a branch in another EEA State
…
CASS 7.19 Clearing member client money sub-pools
As Published: 2014
CASS 7.19 Clearing member client money sub-pools
…
PERG 8.12 Exemptions applying to all controlled activities
As Published: 2005
PERG 8.12 Exemptions applying to all controlled activities
…
SYSC 9.1 General rules on record-keeping
As Published: 2007
SYSC 9.1 General rules on record-keeping
…
SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements
As Published: 2001
SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements
…
COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs
As Published: 2010
COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs
…
BIPRU 3.4 Risk weights under the standardised approach to credit risk
As Published: 2006
BIPRU 3.4 Risk weights under the standardised approach to credit risk
…
SYSC 19C.1 General application and purpose
As Published: 2014
SYSC 19C.1 General application and purpose
…
BIPRU 4.3 The IRB approach: Provisions common to different exposure classes
As Published: 2006
BIPRU 4.3 The IRB approach: Provisions common to different exposure classes
…
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
As Published: 2004
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
…
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
…
PERG 13.7 The territorial application of MiFID
As Published: 2007
PERG 13.7 The territorial application of MiFID
…
SUP 13A.3 Qualifications for authorisation under the Act
As Published: 2007
SUP 13A.3 Qualifications for authorisation under the Act
…