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

…

LR 5.4 Restoring listing

As Published: 2010

LR 5.4 Restoring listing

…

CONC 5.5 Creditworthiness assessment: P2P agreements [deleted]

As Published: 2015

CONC 5.5 Creditworthiness assessment: P2P agreements [deleted]

…

IPRU-INV 9.3 CALCULATING INITIAL CAPITAL

As Published: 2015

IPRU-INV 9.3 CALCULATING INITIAL CAPITAL

…

SUP 14.2 Changes to branch details

As Published: 2001

SUP 14.2 Changes to branch details

…

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

…

REC 3.26 Proposals to make regulatory provision

As Published: 2007

REC 3.26 Proposals to make regulatory provision

…

REC 3.14A Operation of a trading venue

As Published: 2007

REC 3.14A Operation of a trading venue

…

PERG 8.20 Additional restriction on the promotion of collective investment schemes

As Published: 2005

PERG 8.20 Additional restriction on the promotion of collective investment schemes

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COBS 18.8 OPS firms - non scope business [deleted]

BIPRU 12.3 Liquidity risk management

PERG 16.6 Exclusions

DTR 4.3A Reports on payments to governments

PR 3.3 Advertisements

LR 4.2 Contents and format of listing particulars

PERG 8.18 Financial promotions concerning the Lloyd’s market

IPRU-INV 11.1 INTRODUCTION

COND 2.5 Suitability

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

PRIN 3.3 Where?