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

…

DISP 3.3 Dismissal without consideration of the merits and test cases

As Published: 2004

DISP 3.3 Dismissal without consideration of the merits and test cases

…

TC App 4.1 Appropriate Qualification tables

As Published: 2010

TC App 4.1 Appropriate Qualification tables

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

PERG 4.12 Appointed representatives

PERG 5.13 Appointed representatives

ICOBS 5.3 Advised sales

COBS 1.1 General application

MCOB 4A.2 Adequate explanations

PRIN 4.1 Principles: MiFID business

CASS 11.8 Client bank account acknowledgement letters

PERG 14.6 Carrying on a regulated activity in the United Kingdom

SYSC 4.3 Responsibility of senior personnel

ICOBS 2.2 Communications to clients and financial promotions

SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order

CASS 7.18 Acknowledgment letters

PERG 8.13 Exemptions applying to financial promotions concerning deposits and certain contracts of insurance

PERG 14.8 Financial promotions

DISP 2.1 Purpose, interpretation and application

SUP 10A.5 Significant-influence functions

CREDS 7.2 General requirements concerning lending policy

DISP 3.3 Dismissal without consideration of the merits and test cases

TC App 4.1 Appropriate Qualification tables