Search Result
SUP 10C.8 The other local responsibility function (SMF22) and EEA branch senior manager functions (SMF21)
As Published: 2015
SUP 10C.8 The other local responsibility function (SMF22) and EEA branch senior manager functions (SMF21)
…
COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
As Published: 2006
COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
…
COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
As Published: 2010
COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
…
COBS 4.9 Financial promotions with an overseas element
As Published: 2007
COBS 4.9 Financial promotions with an overseas element
…
SYSC 19C.1 General application and purpose
As Published: 2014
SYSC 19C.1 General application and purpose
…
SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities
As Published: 2015
SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities
…
DTR 8.5 Supervision of primary information providers
As Published: 2014
DTR 8.5 Supervision of primary information providers
…
CASS 11.3 Responsibility for CASS operational oversight
As Published: 2015
CASS 11.3 Responsibility for CASS operational oversight
…
PERG 16.5 How AIFMD affects other regulated activities
As Published: 2013
PERG 16.5 How AIFMD affects other regulated activities
…
DISP 1.10B Payment services and electronic money complaints reporting
As Published: 2018
DISP 1.10B Payment services and electronic money complaints reporting
…
COBS 11.6 Use of dealing commission [deleted]
As Published: 2007
COBS 11.6 Use of dealing commission [deleted]
…