Search Result
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
As Published: 2007
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
…
PERG 16.2 What types of funds and businesses are caught?
As Published: 2013
PERG 16.2 What types of funds and businesses are caught?
…
DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments
As Published: 2009
DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments
…
MIPRU 4.2 Capital resources requirements
As Published: 2006
MIPRU 4.2 Capital resources requirements
…
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
…
CASS 7.14 Client money held by a third party
As Published: 2015
CASS 7.14 Client money held by a third party
…
PERG 8.32 Arranging deals in investments
As Published: 2017
PERG 8.32 Arranging deals in investments
…
BIPRU 11.5 Technical criteria on disclosure: General requirements
As Published: 2007
BIPRU 11.5 Technical criteria on disclosure: General requirements
…
PERG 2.10 Persons carrying on regulated activities who do not need authorisation
As Published: 2006
PERG 2.10 Persons carrying on regulated activities who do not need authorisation
…
IPRU-INV 14.5 GROUP FINANCIAL RESOURCES REQUIREMENT
As Published: 2019
IPRU-INV 14.5 GROUP FINANCIAL RESOURCES REQUIREMENT
…
SYSC 4.3A Management body and nomination committee
As Published: 2014
SYSC 4.3A Management body and nomination committee
…
COLL 4.7 Key investor information and marketing communications
As Published: 2011
COLL 4.7 Key investor information and marketing communications
…