Search Result
IPRU-INV 5.4 Financial resources requirement
As Published: 2016
IPRU-INV 5.4 Financial resources requirement
…
COBS 9.5 Record keeping and retention periods for suitability records
As Published: 2007
COBS 9.5 Record keeping and retention periods for suitability records
…
EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers
As Published: 2016
EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers
…
CASS 1.2 General application: who? what?
As Published: 2003
CASS 1.2 General application: who? what?
…
LR 8.5 Responsibilities of listed companies
As Published: 2007
LR 8.5 Responsibilities of listed companies
…
SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation
As Published: 2001
SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation
…
PERG 12.2 Establishing, operating or winding up a personal pension scheme
As Published: 2006
PERG 12.2 Establishing, operating or winding up a personal pension scheme
…
EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions
As Published: 2015
EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions
…
PERG 16.2 What types of funds and businesses are caught?
As Published: 2013
PERG 16.2 What types of funds and businesses are caught?
…
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
…
COLL 8.6 Termination, suspension, and schemes of arrangement
As Published: 2008
COLL 8.6 Termination, suspension, and schemes of arrangement
…