Search Result
COBS 11.5 Record keeping: client orders and transactions [deleted]
As Published: 2017
COBS 11.5 Record keeping: client orders and transactions [deleted]
…
EG 19.6 Regulated Activities Order 2001 (RAO)
As Published: 2016
EG 19.6 Regulated Activities Order 2001 (RAO)
…
CASS 5.2 Holding money as agent of an insurance undertaking
As Published: 2004
CASS 5.2 Holding money as agent of an insurance undertaking
…
COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS
As Published: 2017
COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS
…
CASS 7.14 Client money held by a third party
As Published: 2015
CASS 7.14 Client money held by a third party
…
SYSC 8.1 General outsourcing requirements
As Published: 2006
SYSC 8.1 General outsourcing requirements
…
DTR 1B.1 Application and purpose (Corporate governance)
As Published: 2008
DTR 1B.1 Application and purpose (Corporate governance)
…
MAR 7A.4 Requirements when providing direct electronic access
As Published: 2017
MAR 7A.4 Requirements when providing direct electronic access
…
COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes
As Published: 2011
COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes
…
COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme
As Published: 2013
COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme
…