Search Result
PERG 2.10 Persons carrying on regulated activities who do not need authorisation
As Published: 2006
PERG 2.10 Persons carrying on regulated activities who do not need authorisation
…
DEPP 6A.3 Determining the appropriate length of the period of suspension, restriction, condition or disciplinary prohibition
As Published: 2011
DEPP 6A.3 Determining the appropriate length of the period of suspension, restriction, condition or disciplinary prohibition
…
SUP 16.21 Reporting under the MCD Order for CBTL firms
As Published: 2016
SUP 16.21 Reporting under the MCD Order for CBTL firms
…
REC 2.2 Method of satisfying the recognition requirements
As Published: 2004
REC 2.2 Method of satisfying the recognition requirements
…
IPRU-INV 5.4 Financial resources requirement
As Published: 2016
IPRU-INV 5.4 Financial resources requirement
…
LR 4.2 Contents and format of listing particulars
As Published: 2012
LR 4.2 Contents and format of listing particulars
…
COLL 5.8 Investment powers and borrowing limits for feeder UCITS
As Published: 2011
COLL 5.8 Investment powers and borrowing limits for feeder UCITS
…
FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)
As Published: 2006
FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)
…
SYSC 22.7 Getting references: additional rules and guidance for SMCR firms
As Published: 2016
SYSC 22.7 Getting references: additional rules and guidance for SMCR firms
…
SUP 10C.16 References and accurate information
As Published: 2016
SUP 10C.16 References and accurate information
…
COLL 6.10 Senior personnel responsibilities
As Published: 2011
COLL 6.10 Senior personnel responsibilities
…
COLL 7.2 Suspension and restart of dealings
As Published: 2008
COLL 7.2 Suspension and restart of dealings
…
CASS 7.12 Organisational requirements: client money
As Published: 2017
CASS 7.12 Organisational requirements: client money
…
SUP 18.4 Friendly Society transfers and amalgamations
As Published: 2001
SUP 18.4 Friendly Society transfers and amalgamations
…