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

…

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

As Published: 2017

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

…

LR 1.1 Introduction

As Published: 2005

LR 1.1 Introduction

…

CREDS 2.1 Application and purpose

As Published: 2011

CREDS 2.1 Application and purpose

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

IPRU-INV 5.4 Financial resources requirement

LR 20.4 Continuing obligations

LR 13.4 Class 1 circulars

CONC 10.2 Prudential resources requirements

SUP 10C.7 Other overall responsibility function (SMF18)

SYSC 18.4 The whistleblowers’ champion

COLL 12.2 UK UCITS management companies

FEES 6.3 The FSCS's power to impose levies

CONC 4.4 Pre-contractual requirements: credit brokers

CASS 10.3 Existing records forming part of the CASS resolution pack

CONC 7.11 Disclosures relating to “authority” or “status”

COBS 9.6 Special rules for giving basic advice on a stakeholder product

GEN 4.1 Application

SYSC 20.2 Reverse stress testing requirements

MCOB 5.6 Content of illustrations

CASS 9.3 Prime brokerage agreement disclosure annex