Search Result
MCOB 1.6 Distinguishing regulated mortgage contracts and regulated credit agreements
As Published: 2004
MCOB 1.6 Distinguishing regulated mortgage contracts and regulated credit agreements
…
SYSC 4.2 Persons who effectively direct the business
As Published: 2008
SYSC 4.2 Persons who effectively direct the business
…
SUP 3.10 Duties of auditors: notification and report on client assets
As Published: 2004
SUP 3.10 Duties of auditors: notification and report on client assets
…
BIPRU 8.7 Consolidated capital resources requirements
As Published: 2010
BIPRU 8.7 Consolidated capital resources requirements
…
COLL 6.9 Independence, names and UCITS business restrictions
As Published: 2006
COLL 6.9 Independence, names and UCITS business restrictions
…
SYSC 19C.1 General application and purpose
As Published: 2014
SYSC 19C.1 General application and purpose
…
SUP 16.15 Reporting under the Electronic Money Regulations
As Published: 2011
SUP 16.15 Reporting under the Electronic Money Regulations
…
LR 8.6 Criteria for approval as a sponsor
As Published: 2005
LR 8.6 Criteria for approval as a sponsor
…
COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
As Published: 2010
COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
…
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
As Published: 2010
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
…
EG 9.3 Prohibition orders and withdrawal of approval - approved persons
As Published: 2015
EG 9.3 Prohibition orders and withdrawal of approval - approved persons
…
SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
…