Search Result
PERG 7.3 Does the activity require authorisation?
As Published: 2006
PERG 7.3 Does the activity require authorisation?
…
BIPRU 12.9 Individual liquidity guidance and regulatory intervention points
As Published: 2012
BIPRU 12.9 Individual liquidity guidance and regulatory intervention points
…
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
…
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?
…
COBS 14.2 Providing product information to clients
As Published: 2007
COBS 14.2 Providing product information to clients
…
SYSC 19C.1 General application and purpose
As Published: 2014
SYSC 19C.1 General application and purpose
…
SUP 10A.8 Systems and controls functions
As Published: 2013
SUP 10A.8 Systems and controls functions
…
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
…
BIPRU 8.3 Scope and basic consolidation requirements for non-EEA sub-groups
As Published: 2006
BIPRU 8.3 Scope and basic consolidation requirements for non-EEA sub-groups
…
BIPRU 3.4 Risk weights under the standardised approach to credit risk
As Published: 2006
BIPRU 3.4 Risk weights under the standardised approach to credit risk
…
TC App 2.1 TCs Territorial Scope subject to the limitation in TC Appendix 3
As Published: 2007
TC App 2.1 TCs Territorial Scope subject to the limitation in TC Appendix 3
…
SYSC 19A.3 Remuneration principles for IFPRU investment firms
As Published: 2011
SYSC 19A.3 Remuneration principles for IFPRU investment firms
…