Search Result
COBS 11.2 Best execution for AIFMs and residual CIS operators
As Published: 2007
COBS 11.2 Best execution for AIFMs and residual CIS operators
…
PR 3.2 Filing and publication of prospectus
As Published: 2012
PR 3.2 Filing and publication of prospectus
…
CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank
As Published: 2014
CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank
…
PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
As Published: 2005
PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
…
IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A CATEGORY B FIRM
As Published: 2015
IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A CATEGORY B FIRM
…
DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?
As Published: 2008
DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?
…
TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
…
GEN 4.5 Statements about authorisation and regulation by the appropriate regulator
As Published: 2008
GEN 4.5 Statements about authorisation and regulation by the appropriate regulator
…
EG 19.21 The conduct of investigations under the Payment Services Regulations
As Published: 2016
EG 19.21 The conduct of investigations under the Payment Services Regulations
…
BIPRU 12.4 Stress testing and contingency funding
As Published: 2010
BIPRU 12.4 Stress testing and contingency funding
…
CASS 5.8 Safe keeping of client's documents and other assets
As Published: 2010
CASS 5.8 Safe keeping of client's documents and other assets
…
SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
…
PERG 4.18 Regulated activities related to mortgages: flowchart
As Published: 2005
PERG 4.18 Regulated activities related to mortgages: flowchart
…
SUP 10C.16 References and accurate information
As Published: 2016
SUP 10C.16 References and accurate information
…
BIPRU 1.2 Definition of the trading book
As Published: 2010
BIPRU 1.2 Definition of the trading book
…