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EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

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SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

As Published: 2001

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

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BIPRU 9.3 Requirements for originators and sponsors

As Published: 2010

BIPRU 9.3 Requirements for originators and sponsors

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REC 6.6 Supervision

As Published: 2013

REC 6.6 Supervision

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PERG 8.3 Financial promotion

As Published: 2005

PERG 8.3 Financial promotion

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IFPRU 6.3 Expectations relating to internal models

As Published: 2014

IFPRU 6.3 Expectations relating to internal models

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COLL Appendix 1EU KII Regulation

As Published: 2011

COLL Appendix 1EU KII Regulation

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IFPRU 4.3 Guidance on internal ratings based approach: high level material

As Published: 2014

IFPRU 4.3 Guidance on internal ratings based approach: high level material

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SUP 15.7 Form and method of notification

As Published: 2002

SUP 15.7 Form and method of notification

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PERG 8.31 Exclusions for advising on investments

As Published: 2007

PERG 8.31 Exclusions for advising on investments

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SYSC 6.1 Compliance

GENPRU 1.3 Valuation

LR 20.4 Continuing obligations

EG 15.3 Disqualification under section 345

EG 15.4 Disqualification under section 249 or section 261K

LR 6.11 Specialist companies: scientific research based companies

DTR 4.1 Annual financial report

LR 13.2 Approval of circulars

SYSC 4.4 Apportionment of responsibilities

PR 3.2 Filing and publication of prospectus