Search Result
IPRU-INV 5 App 1 Glossary of terms for IPRU-INV 5
As Published: 2016
IPRU-INV 5 App 1 Glossary of terms for IPRU-INV 5
…
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
As Published: 2007
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
…
REC 4.5 FCA supervision of action by UK RIEs under their default rules
As Published: 2013
REC 4.5 FCA supervision of action by UK RIEs under their default rules
…
IPRU-INV 13.1A Capital resources and professional indemnity insurance requirements for an exempt CAD firm
As Published: 2010
IPRU-INV 13.1A Capital resources and professional indemnity insurance requirements for an exempt CAD firm
…
COLL 6.10 Senior personnel responsibilities
As Published: 2011
COLL 6.10 Senior personnel responsibilities
…
REC 3.15 Suspension of services and inability to operate facilities
As Published: 2007
REC 3.15 Suspension of services and inability to operate facilities
…
CONC 8.3 Pre contract information and advice requirements
As Published: 2014
CONC 8.3 Pre contract information and advice requirements
…
EG 6.2 Publicity during, or upon the conclusion of regulatory action
As Published: 2015
EG 6.2 Publicity during, or upon the conclusion of regulatory action
…
PERG 2.5 Investments and activities: general
As Published: 2006
PERG 2.5 Investments and activities: general
…
IFPRU 6.3 Expectations relating to internal models
As Published: 2014
IFPRU 6.3 Expectations relating to internal models
…
COCON 4.1 Specific guidance on individual conduct rules
As Published: 2015
COCON 4.1 Specific guidance on individual conduct rules
…
MIPRU 4.2D Liquidity resources requirements
As Published: 2013
MIPRU 4.2D Liquidity resources requirements
…
PERG 8.32 Arranging deals in investments
As Published: 2017
PERG 8.32 Arranging deals in investments
…