Search Result
SYSC 4.8 Senior management responsibilities for third-country relevant authorised persons: allocation of responsibilities
As Published: 2015
SYSC 4.8 Senior management responsibilities for third-country relevant authorised persons: allocation of responsibilities
…
BIPRU 7.7 Position risk requirements for collective investment undertakings
As Published: 2007
BIPRU 7.7 Position risk requirements for collective investment undertakings
…
DTR 8.5 Supervision of primary information providers
As Published: 2014
DTR 8.5 Supervision of primary information providers
…
IFPRU 4.4 Internal ratings based approach: overall requirements for estimation
As Published: 2014
IFPRU 4.4 Internal ratings based approach: overall requirements for estimation
…
PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
As Published: 2005
PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
…
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
As Published: 2006
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
…
SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
…
SUP 10C.11 Statements of responsibilities
As Published: 2015
SUP 10C.11 Statements of responsibilities
…
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
As Published: 2004
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
…
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
…
RCB 3.2 Annual confirmations of compliance and asset pool monitor
As Published: 2011
RCB 3.2 Annual confirmations of compliance and asset pool monitor
…
BIPRU 2.3 Interest rate risk in the non-trading book
As Published: 2006
BIPRU 2.3 Interest rate risk in the non-trading book
…
COBS 20.2 Treating with-profits policyholders fairly
As Published: 2009
COBS 20.2 Treating with-profits policyholders fairly
…