Search Result

SUP 14.7 Cancellation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation

…

COCON 2.2 Senior manager conduct rules

As Published: 2015

COCON 2.2 Senior manager conduct rules

…

MAR 5.5 Monitoring compliance with the rules of the MTF

As Published: 2003

MAR 5.5 Monitoring compliance with the rules of the MTF

…

CREDS 3A.4 Insurance against fraud or other dishonesty

As Published: 2016

CREDS 3A.4 Insurance against fraud or other dishonesty

…

MAR 5A.7 Monitoring compliance with the rules of the OTF

As Published: 2017

MAR 5A.7 Monitoring compliance with the rules of the OTF

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

ICOBS 6.3 Pre- and post-contract information: pure protection contracts

APER 4.2 Statement of Principle 2

BIPRU 5.1 Application and purpose

BIPRU 14.1 Application and purpose

BIPRU 11.1 Application and purpose

IPRU-INV 11.7 CAPITAL REPORTING

DISP 3.1 Purpose, interpretation and application

APER 4.3 Statement of Principle 3

SYSC 22.4 Drafting the reference: detailed requirements for full scope regulatory reference firms

MCOB 2.5 Reliance on others

FEES App 1.3 Application Fees

PR 4.2 Third country issuers

SUP 3.11 Review of auditor’s client assets report

CONC 14.1 Application

SUP App 2.10 Grant or variation of permission

SUP 14.7 Cancellation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation

COCON 2.2 Senior manager conduct rules

MAR 5.5 Monitoring compliance with the rules of the MTF

CREDS 3A.4 Insurance against fraud or other dishonesty

MAR 5A.7 Monitoring compliance with the rules of the OTF