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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

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LR 8.6 Criteria for approval as a sponsor

As Published: 2005

LR 8.6 Criteria for approval as a sponsor

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SYSC 13.9 Outsourcing

As Published: 2015

SYSC 13.9 Outsourcing

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COND 2.4 Appropriate resources

As Published: 2004

COND 2.4 Appropriate resources

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SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

As Published: 2002

SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

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EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

As Published: 2016

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

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PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

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SUP 16.4 Annual controllers report

MAR 10.5 Other reporting, notifications and information requirements

SUP 10A.13 Application for approval and withdrawing an application for approval

SUP 13A.3 Qualifications for authorisation under the Act

COND 2.3 Effective supervision

SUP 3.10 Duties of auditors: notification and report on client assets

COLL 12.3 EEA UCITS management companies

SYSC 1.4 Application of SYSC 11 to SYSC 22

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

COLL 6.9 Independence, names and UCITS business restrictions

SUP 12.5 Contracts: required terms

SYSC 19A.3 Remuneration principles for IFPRU investment firms

SUP 9.2 Making a request for individual guidance

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