Search Result
SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?
As Published: 2004
SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?
…
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
…
SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
…
SUP 15.11 Notification of COCON breaches and disciplinary action
As Published: 2015
SUP 15.11 Notification of COCON breaches and disciplinary action
…
SUP 16.13 Reporting under the Payment Services Regulations
As Published: 2010
SUP 16.13 Reporting under the Payment Services Regulations
…
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
As Published: 2006
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
…
REC 3.26 Proposals to make regulatory provision
As Published: 2007
REC 3.26 Proposals to make regulatory provision
…
PERG 16.4 Acting as a depositary of an AIF
As Published: 2019
PERG 16.4 Acting as a depositary of an AIF
…
SUP 15.8 Notification in respect of particular products and services
As Published: 2001
SUP 15.8 Notification in respect of particular products and services
…
SUP 10C.8 The other local responsibility function (SMF22)
As Published: 2015
SUP 10C.8 The other local responsibility function (SMF22)
…