Search Result
DTR 1.5 Fees, market abuse safe harbours and sanctions
As Published: 2005
DTR 1.5 Fees, market abuse safe harbours and sanctions
…
REC 3.5 Disciplinary action and events relating to key individuals
As Published: 2013
REC 3.5 Disciplinary action and events relating to key individuals
…
EG 9.4 Prohibition orders against exempt persons and members of professional firms
As Published: 2016
EG 9.4 Prohibition orders against exempt persons and members of professional firms
…
EG 16.3 Applications under section 329(3) for variation or revocation of disapplication orders
As Published: 2016
EG 16.3 Applications under section 329(3) for variation or revocation of disapplication orders
…
COLL 11.3 Co-ordination and information exchange for master and feeder UCITS
As Published: 2013
COLL 11.3 Co-ordination and information exchange for master and feeder UCITS
…
CASS 10.3 Existing records forming part of the CASS resolution pack
As Published: 2014
CASS 10.3 Existing records forming part of the CASS resolution pack
…
REC 2.8 Settlement and clearing facilitation services
As Published: 2004
REC 2.8 Settlement and clearing facilitation services
…
BIPRU 9.11 Calculation of risk weighted exposure amounts under the standardised approach to securitisations
As Published: 2010
BIPRU 9.11 Calculation of risk weighted exposure amounts under the standardised approach to securitisations
…
LR 15.6 Notifications and periodic financial information
As Published: 2007
LR 15.6 Notifications and periodic financial information
…
COLL 7.5 Schemes or sub-funds that are not commercially viable
As Published: 2013
COLL 7.5 Schemes or sub-funds that are not commercially viable
…
SUP 11.7 Acquisition or increase of control: assessment process and criteria
As Published: 2004
SUP 11.7 Acquisition or increase of control: assessment process and criteria
…
MAR 4.3 Support of the Takeover Panel's Functions
As Published: 2007
MAR 4.3 Support of the Takeover Panel's Functions
…
SUP 10C.7 Other overall responsibility function (SMF18)
As Published: 2015
SUP 10C.7 Other overall responsibility function (SMF18)
…