Search Result

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

…

PERG 13.7 The territorial application of MiFID [deleted]

As Published: 2007

PERG 13.7 The territorial application of MiFID [deleted]

…

COLL 6.6B UCITS depositaries

As Published: 2016

COLL 6.6B UCITS depositaries

…

CASS 1A.2 CASS firm classification

As Published: 2010

CASS 1A.2 CASS firm classification

…

SUP 11.4 Requirements on firms

As Published: 2004

SUP 11.4 Requirements on firms

…

SUP 16.4 Annual controllers report

As Published: 2001

SUP 16.4 Annual controllers report

…

SYSC 12.1 Application

As Published: 2006

SYSC 12.1 Application

…

SUP 13A.4 EEA firms establishing a branch in the United Kingdom

As Published: 2007

SUP 13A.4 EEA firms establishing a branch in the United Kingdom

…

REC 3.22 Restriction of, or instruction to close out, open positions

As Published: 2011

REC 3.22 Restriction of, or instruction to close out, open positions

…

SYSC 18.3 Internal arrangements

As Published: 2015

SYSC 18.3 Internal arrangements

…

SYSC 4.6 Management responsibilities maps for non-UK relevant authorised persons

As Published: 2015

SYSC 4.6 Management responsibilities maps for non-UK relevant authorised persons

…

DTR 6.2 Filing information and use of language

As Published: 2012

DTR 6.2 Filing information and use of language

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

DISP 1.10 Complaints reporting rules

REC 2A.4 Power and procedure for RAP penalties and censures

GEN 5.1 Application and purpose

SUP 13A.1 Application and purpose

IFPRU 4.12 Securitisation

FEES 13.2 The IML levy

SUP 12.5 Contracts: required terms

DTR 3.1

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