Search Result
REC 2.2 Method of satisfying the recognition requirements
As Published: 2004
REC 2.2 Method of satisfying the recognition requirements
…
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
…
REC 4.5 FCA supervision of action by UK RIEs under their default rules
As Published: 2013
REC 4.5 FCA supervision of action by UK RIEs under their default rules
…
SUP 6.4 Applications for cancellation of permission
As Published: 2004
SUP 6.4 Applications for cancellation of permission
…
SUP 10A.14 Changes to an FCA-approved person's details
As Published: 2014
SUP 10A.14 Changes to an FCA-approved person's details
…
REC 3.26 Proposals to make regulatory provision
As Published: 2007
REC 3.26 Proposals to make regulatory provision
…
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?
…
REC 3.13 Delegation of relevant functions
As Published: 2011
REC 3.13 Delegation of relevant functions
…
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
…
SUP 16.12 Integrated Regulatory Reporting
As Published: 2006
SUP 16.12 Integrated Regulatory Reporting
…
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
…
COLL 12.3 EEA UCITS management companies
As Published: 2013
COLL 12.3 EEA UCITS management companies
…