Search Result
SUP 13.3 Establishing a branch in another EEA State
As Published: 2001
SUP 13.3 Establishing a branch in another EEA State
…
COLL 6.11 Risk control and internal reporting
As Published: 2011
COLL 6.11 Risk control and internal reporting
…
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?
…
PERG 8.12 Exemptions applying to all controlled activities
As Published: 2005
PERG 8.12 Exemptions applying to all controlled activities
…
REC 3.21 Criminal offences and civil prohibitions
As Published: 2013
REC 3.21 Criminal offences and civil prohibitions
…
REC 3.22 Restriction of, or instruction to close out, open positions
As Published: 2011
REC 3.22 Restriction of, or instruction to close out, open positions
…
EG 15.3 Disqualification under section 345
As Published: 2016
EG 15.3 Disqualification under section 345
…
EG 15.4 Disqualification under section 249 or section 261K
As Published: 2016
EG 15.4 Disqualification under section 249 or section 261K
…
COBS 2.1 Acting honestly, fairly and professionally
As Published: 2007
COBS 2.1 Acting honestly, fairly and professionally
…
CONC 7.6 Exercise of continuous payment authority
As Published: 2014
CONC 7.6 Exercise of continuous payment authority
…
COLL 12.3 EEA UCITS management companies
As Published: 2013
COLL 12.3 EEA UCITS management companies
…
SYSC 4.9 Handover procedures and material
As Published: 2015
SYSC 4.9 Handover procedures and material
…
COLL 8.4 Investment and borrowing powers
As Published: 2006
COLL 8.4 Investment and borrowing powers
…