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

…

PRIN 3.1 Who?

As Published: 2007

PRIN 3.1 Who?

…

APER 4.5 Statement of Principle 5

As Published: 2008

APER 4.5 Statement of Principle 5

…

CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators

As Published: 2018

CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

DTR 5.4 Aggregation of managed holdings

BIPRU 12.1 Application

IPRU-INV 14.1 APPLICATION

FEES 6.5A The retail pool

IPRU-INV 5.4 Financial resources requirement

FEES 12.2 FOS ADR levy

CASS 12.2 Treatment of client money

DTR 6.2 Filing information and use of language

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

DISP App 1.5 Additional considerations

COLL 12.2 UK UCITS management companies

LR 8.2 When a sponsor must be appointed or its guidance obtained

APER 4.1 Statement of Principle 1

SUP 15.12 Ongoing alerts for retail adviser complaints

REC 2.15 Discipline

SUP 16.18 AIFMD reporting

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