Search Result

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

…

SUP App 3.2 Purpose

As Published: 2004

SUP App 3.2 Purpose

…

EG 3.2A Information requests (section 122A)

As Published: 2016

EG 3.2A Information requests (section 122A)

…

REC 3.11 Insolvency events

As Published: 2013

REC 3.11 Insolvency events

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

EG 19.15 The conduct of investigations under the Money Laundering Regulations

DISP App 3.10 Application: evidential provisions and guidance

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

EG 9.4 Prohibition orders against exempt persons and members of professional firms

REC 2A.1 Introduction

APER 1.2 Purpose

EG 9.1 Introduction

IPRU-INV 11.6 ADDITIONAL REQUIREMENTS FOR COLLECTIVE PORTFOLIO MANAGEMENT INVESTMENT FIRMS

SUP 10C.16 References and accurate information

CONC 5.5 Creditworthiness assessment: P2P agreements [deleted]

MAR 5.3 Trading process requirements

LR 20.4 Continuing obligations

MAR 5A.5 Systems and controls for algorithmic trading

DTR 6.2 Filing information and use of language

LR 5.4 Restoring listing

EG 3.2 Information requests (section 165)

SUP App 3.2 Purpose

EG 3.2A Information requests (section 122A)

REC 3.11 Insolvency events