Search Result
SUP 10C.13 Variation of conditional and time-limited approvals
As Published: 2015
SUP 10C.13 Variation of conditional and time-limited approvals
…
EG 3.7 Investigations to assist overseas authorities (section 169)
As Published: 2016
EG 3.7 Investigations to assist overseas authorities (section 169)
…
FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
…
COLL 8.4 Investment and borrowing powers
As Published: 2006
COLL 8.4 Investment and borrowing powers
…
COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business
As Published: 2007
COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business
…
SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order
As Published: 2004
SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order
…
COLL 6.8 Income: accounting, allocation and distribution
As Published: 2006
COLL 6.8 Income: accounting, allocation and distribution
…
RCB 6.2 Policy on decision and warning notices
As Published: 2008
RCB 6.2 Policy on decision and warning notices
…
PERG 8.25 Advice must relate to an investment which is a security or contractually based investment
As Published: 2006
PERG 8.25 Advice must relate to an investment which is a security or contractually based investment
…
MAR 8.2 Requirements for benchmark submitters
As Published: 2013
MAR 8.2 Requirements for benchmark submitters
…
COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
As Published: 2010
COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
…
COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes
As Published: 2011
COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes
…
SUP App 2.15 Run-off plans for closed with-profits funds
As Published: 2005
SUP App 2.15 Run-off plans for closed with-profits funds
…
GENPRU 1.2 Adequacy of financial resources
As Published: 2006
GENPRU 1.2 Adequacy of financial resources
…
FEES 4.2 Obligation to pay periodic fees
As Published: 2006
FEES 4.2 Obligation to pay periodic fees
…