Search Result

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

…

EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions

As Published: 2015

EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions

…

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

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

PERG 16.2 What types of funds and businesses are caught?

TC 2.2A Time limits

SUP 11.2 Purpose

IFPRU 4.8 Internal ratings based approach: own estimates of exposure at default (EAD)

SUP 5.3 Policy on the use of skilled persons

SYSC 19D.2 General requirement

CASS 5.1 Application

FEES App 1.2 Periodic Fees

IFPRU 11.2 Individual recovery plans

REC 2.8 Settlement and clearing facilitation services

DEPP 4.1 Executive decision maker

SYSC 10.2 Chinese walls

CONC 3.1 Application

MCOB 2.8 Record keeping

CONC 4.2 Pre-contract disclosure and adequate explanations

SUP 15A.1 Application and notifications under EMIR

EG 2.6 Assisting overseas regulators

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products