Search Result
COCON 4.2 Specific guidance on senior manager conduct rules
As Published: 2015
COCON 4.2 Specific guidance on senior manager conduct rules
…
MAR 9.1 Application, introduction, approach and structure
As Published: 2017
MAR 9.1 Application, introduction, approach and structure
…
DTR 8.5 Supervision of primary information providers
As Published: 2014
DTR 8.5 Supervision of primary information providers
…
COBS 12.2 Investment research and non-independent research
As Published: 2007
COBS 12.2 Investment research and non-independent research
…
IFPRU 11.5 Intra-group financial support
As Published: 2016
IFPRU 11.5 Intra-group financial support
…
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
As Published: 2004
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
…
SUP 15.14 Notifications under the Payment Services Regulations
As Published: 2018
SUP 15.14 Notifications under the Payment Services Regulations
…
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
…
BIPRU 4.3 The IRB approach: Provisions common to different exposure classes
As Published: 2006
BIPRU 4.3 The IRB approach: Provisions common to different exposure classes
…
MCOB 4.4A Initial disclosure requirements
As Published: 2012
MCOB 4.4A Initial disclosure requirements
…
SYSC 4.2 Persons who effectively direct the business
As Published: 2008
SYSC 4.2 Persons who effectively direct the business
…