Search Result
DTR 4.3A Reports on payments to governments
As Published: 2014
DTR 4.3A Reports on payments to governments
…
REC 3.14A Operation of a regulated market or MTF
As Published: 2007
REC 3.14A Operation of a regulated market or MTF
…
SUP 6.4 Applications for cancellation of permission
As Published: 2004
SUP 6.4 Applications for cancellation of permission
…
SUP 11.3 Requirements on controllers or proposed controllers under the Act
As Published: 2001
SUP 11.3 Requirements on controllers or proposed controllers under the Act
…
GEN 4.5 Statements about authorisation and regulation by the appropriate regulator
As Published: 2008
GEN 4.5 Statements about authorisation and regulation by the appropriate regulator
…
SUP 5.4 Appointment and reporting process
As Published: 2016
SUP 5.4 Appointment and reporting process
…
COLL 6.12 Risk management policy and risk measurement
As Published: 2011
COLL 6.12 Risk management policy and risk measurement
…
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
…
DTR 1B.1 Application and purpose (Corporate governance)
As Published: 2008
DTR 1B.1 Application and purpose (Corporate governance)
…
PERG 13.7 The territorial application of MiFID
As Published: 2007
PERG 13.7 The territorial application of MiFID
…
CASS 10.1 Application, purpose and general provisions
As Published: 2012
CASS 10.1 Application, purpose and general provisions
…