Search Result

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

…

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?

…

COLL 7.1 Introduction

As Published: 2007

COLL 7.1 Introduction

…

LR 6.14 Shares in public hands

As Published: 2017

LR 6.14 Shares in public hands

…

SUP 10A.5 Significant-influence functions

As Published: 2015

SUP 10A.5 Significant-influence functions

…

LR 1.1 Introduction

As Published: 2005

LR 1.1 Introduction

…

FIT 1.1 Application and purpose

As Published: 2015

FIT 1.1 Application and purpose

…

DTR 2.5 Delaying disclosure of inside information

As Published: 2008

DTR 2.5 Delaying disclosure of inside information

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

MCOB 4A.2 Adequate explanations

CASS 11.8 Client bank account acknowledgement letters

PERG 14.6 Carrying on a regulated activity in the United Kingdom

PERG 8.2 Introduction

PRIN 4.1 Principles: MiFID business

SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order

CASS 7.18 Acknowledgment letters

PERG 14.8 Financial promotions

PERG 5.13 Appointed representatives

COBS 1.1 General application

DISP 2.1 Purpose, interpretation and application

CREDS 7.2 General requirements concerning lending policy