Search Result

SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation

…

EG 19.25 Recognised Auction Platforms Regulations 2011

As Published: 2016

EG 19.25 Recognised Auction Platforms Regulations 2011

…

IPRU-INV 2.4 BONDING REQUIREMENT FOR ACCOUNTANTS

As Published: 2015

IPRU-INV 2.4 BONDING REQUIREMENT FOR ACCOUNTANTS

…

LR 1.1 Introduction

As Published: 2005

LR 1.1 Introduction

…

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

…

APER 4.2 Statement of Principle 2

As Published: 2005

APER 4.2 Statement of Principle 2

…

SUP 8.1 Application and purpose

As Published: 2003

SUP 8.1 Application and purpose

…

DISP App 3.5 Re-assessing rejected claims at step 1

As Published: 2017

DISP App 3.5 Re-assessing rejected claims at step 1

…

SYSC 7.1 Risk control

As Published: 2006

SYSC 7.1 Risk control

…

COBS 11.5 Record keeping: client orders and transactions [deleted]

As Published: 2017

COBS 11.5 Record keeping: client orders and transactions [deleted]

…

COLL 8.4 Investment and borrowing powers

As Published: 2006

COLL 8.4 Investment and borrowing powers

…

CONC 7.8 Jurisdictional requirements

As Published: 2014

CONC 7.8 Jurisdictional requirements

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COLL 11.2 Approval of a feeder UCITS

LR 9.3 Continuing obligations: holders

PERG 16.8 Territorial scope

PERG 10.1 Background

SUP 1A.4 Tools of supervision

LR 5.3 Requests to cancel or suspend

LR 5.4 Restoring listing

SUP 3.11 Review of auditor’s client assets report

SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation