Search Result
EG 19.32 The Payment Accounts Regulations 2015
As Published: 2016
EG 19.32 The Payment Accounts Regulations 2015
…
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
…
PERG 9.10 Significance of being an open-ended investment company
As Published: 2005
PERG 9.10 Significance of being an open-ended investment company
…
LR 9.2 Requirements with continuing application
As Published: 2006
LR 9.2 Requirements with continuing application
…
EG 19.15 The conduct of investigations under the Money Laundering Regulations
As Published: 2016
EG 19.15 The conduct of investigations under the Money Laundering Regulations
…
REC 3.26 Proposals to make regulatory provision
As Published: 2007
REC 3.26 Proposals to make regulatory provision
…
REC 6.7 Notification rules for overseas recognised bodies
As Published: 2013
REC 6.7 Notification rules for overseas recognised bodies
…
EG 6.2 Publicity during, or upon the conclusion of regulatory action
As Published: 2015
EG 6.2 Publicity during, or upon the conclusion of regulatory action
…
SUP 16.3 General provisions on reporting
As Published: 2001
SUP 16.3 General provisions on reporting
…
CASS 7.19 Clearing member client money sub-pools
As Published: 2014
CASS 7.19 Clearing member client money sub-pools
…
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 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?
…
SUP 13A.3 Qualifications for authorisation under the Act
As Published: 2007
SUP 13A.3 Qualifications for authorisation under the Act
…
SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities
As Published: 2015
SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities
…
PERG 4.5 Arranging regulated mortgage contracts
As Published: 2013
PERG 4.5 Arranging regulated mortgage contracts
…