Search Result
COBS 11.6 Use of dealing commission [deleted]
As Published: 2007
COBS 11.6 Use of dealing commission [deleted]
…
SYSC 2.1 Apportionment of Responsibilities
As Published: 2002
SYSC 2.1 Apportionment of Responsibilities
…
BIPRU 12.9 Individual liquidity guidance and regulatory intervention points
As Published: 2012
BIPRU 12.9 Individual liquidity guidance and regulatory intervention points
…
SUP 15.6 Inaccurate, false or misleading information
As Published: 2005
SUP 15.6 Inaccurate, false or misleading information
…
INSPRU 8.2 Special provisions for Lloyd's
As Published: 2009
INSPRU 8.2 Special provisions for Lloyd's
…
SUP 11.8 Changes in the circumstances of existing controllers
As Published: 2004
SUP 11.8 Changes in the circumstances of existing controllers
…
SUP 12.8 Termination of a relationship with an appointed representative or FCA registered tied agent
As Published: 2004
SUP 12.8 Termination of a relationship with an appointed representative or FCA registered tied agent
…
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
…
SUP 15A.1 Application and notifications under EMIR
As Published: 2013
SUP 15A.1 Application and notifications under EMIR
…
REC 3.13 Delegation of relevant functions
As Published: 2011
REC 3.13 Delegation of relevant functions
…
LR 9.4 Documents requiring prior approval
As Published: 2005
LR 9.4 Documents requiring prior approval
…
EG 19.7 The Open-Ended Investment Companies Regulations 2001
As Published: 2016
EG 19.7 The Open-Ended Investment Companies Regulations 2001
…