Search Result
EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation
As Published: 2016
EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation
…
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
…
SUP 10C.8 The other local responsibility function (SMF22) and EEA branch senior manager functions (SMF21)
As Published: 2015
SUP 10C.8 The other local responsibility function (SMF22) and EEA branch senior manager functions (SMF21)
…
PERG 13.3 Investment Services and Activities
As Published: 2012
PERG 13.3 Investment Services and Activities
…
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
…
IFPRU 4.4 Internal ratings based approach: overall requirements for estimation
As Published: 2014
IFPRU 4.4 Internal ratings based approach: overall requirements for estimation
…
MAR 9.1 Application, introduction, approach and structure
As Published: 2017
MAR 9.1 Application, introduction, approach and structure
…
RCB 6.2 Policy on decision and warning notices
As Published: 2008
RCB 6.2 Policy on decision and warning notices
…
EG 13.12 Insolvency regime and relevant sections of the Act
As Published: 2016
EG 13.12 Insolvency regime and relevant sections of the Act
…