Search Result
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order
…
FEES 4.4 Information on which fees are calculated
As Published: 2007
FEES 4.4 Information on which fees are calculated
…
COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
As Published: 2007
COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
…
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)
…
COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs
As Published: 2010
COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs
…
SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
…
SYSC 4.3 Responsibility of senior personnel
As Published: 2007
SYSC 4.3 Responsibility of senior personnel
…
SYSC 20.2 Reverse stress testing requirements
As Published: 2010
SYSC 20.2 Reverse stress testing requirements
…
SUP 10C.3 General material about the definition of controlled functions
As Published: 2015
SUP 10C.3 General material about the definition of controlled functions
…
EG 8.3 Use of the own-initiative powers in urgent cases
As Published: 2016
EG 8.3 Use of the own-initiative powers in urgent cases
…
SYSC 4.4 Apportionment of responsibilities
As Published: 2008
SYSC 4.4 Apportionment of responsibilities
…
SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents
As Published: 2001
SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents
…
MCOB 12.4 Payment shortfall charges: regulated mortgage contracts
As Published: 2004
MCOB 12.4 Payment shortfall charges: regulated mortgage contracts
…