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SUP 10A.11 Minimising overlap with the PRA approved persons regime
As Published: 2015
SUP 10A.11 Minimising overlap with the PRA approved persons regime
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SUP 15A.1 Application and notifications under EMIR
As Published: 2013
SUP 15A.1 Application and notifications under EMIR
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TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
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SYSC 22.5 Giving references: additional rules and guidance for all firms
As Published: 2016
SYSC 22.5 Giving references: additional rules and guidance for all firms
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REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
As Published: 2004
REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
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DTR 8.5 Supervision of primary information providers
As Published: 2014
DTR 8.5 Supervision of primary information providers
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SUP 5.3 Policy on the use of skilled persons
As Published: 2005
SUP 5.3 Policy on the use of skilled persons
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FEES 11.2 Pensions guidance providers’ levy
As Published: 2015
FEES 11.2 Pensions guidance providers’ levy
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DEPP 6.2 Deciding whether to take action
As Published: 2007
DEPP 6.2 Deciding whether to take action
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SUP 16.15 Reporting under the Electronic Money Regulations
As Published: 2011
SUP 16.15 Reporting under the Electronic Money Regulations
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MAR 10.5 Other reporting, notifications and information requirements
As Published: 2017
MAR 10.5 Other reporting, notifications and information requirements
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