Search Result
SYSC 4.5 Management responsibilities maps for UK relevant authorised persons
As Published: 2015
SYSC 4.5 Management responsibilities maps for UK relevant authorised persons
…
DTR 1C.1 Application and purpose (Primary information providers)
As Published: 2014
DTR 1C.1 Application and purpose (Primary information providers)
…
LR 9.2 Requirements with continuing application
As Published: 2006
LR 9.2 Requirements with continuing application
…
SYSC 4.3A Management body and nomination committee
As Published: 2014
SYSC 4.3A Management body and nomination committee
…
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
…
TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
…
EG 8.3 Use of the own-initiative powers in urgent cases
As Published: 2016
EG 8.3 Use of the own-initiative powers in urgent cases
…
EG 4.11 Approach to interviews and interview procedures
As Published: 2016
EG 4.11 Approach to interviews and interview procedures
…
COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs
As Published: 2010
COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs
…