Search Result
SYSC 4.3A Management body and nomination committee
As Published: 2014
SYSC 4.3A Management body and nomination committee
…
SUP 10C.11 Statements of responsibilities
As Published: 2015
SUP 10C.11 Statements of responsibilities
…
PERG 7.3 Does the activity require authorisation?
As Published: 2006
PERG 7.3 Does the activity require authorisation?
…
SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements
As Published: 2001
SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements
…
SYSC 19C.1 General application and purpose
As Published: 2014
SYSC 19C.1 General application and purpose
…
SYSC 22.8 Policies and appointed representatives
As Published: 2016
SYSC 22.8 Policies and appointed representatives
…
COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs
As Published: 2010
COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs
…
DISP 1.1A Complaints handling requirements for MiFID complaints
As Published: 2017
DISP 1.1A Complaints handling requirements for MiFID complaints
…
PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
As Published: 2005
PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
…
PERG 9.6 The investment condition (section 236(3) of the Act): general
As Published: 2009
PERG 9.6 The investment condition (section 236(3) of the Act): general
…
SUP 10C.9 Minimising overlap with the PRA approved persons regime
As Published: 2015
SUP 10C.9 Minimising overlap with the PRA approved persons regime
…
BIPRU 4.3 The IRB approach: Provisions common to different exposure classes
As Published: 2006
BIPRU 4.3 The IRB approach: Provisions common to different exposure classes
…