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

…

PERG 5.12 Link between activities and the United Kingdom

As Published: 2005

PERG 5.12 Link between activities and the United Kingdom

…

REC 2.10 Financial crime and market abuse

As Published: 2004

REC 2.10 Financial crime and market abuse

…

ICOBS 5.1 General

As Published: 2007

ICOBS 5.1 General

…

CASS 7A.3 Secondary pooling events

As Published: 2010

CASS 7A.3 Secondary pooling events

…

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

As Published: 2017

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

…

ICOBS 2.1 Client categorisation

As Published: 2007

ICOBS 2.1 Client categorisation

…

CASS 11.9 Segregation and the operation of client money accounts

As Published: 2014

CASS 11.9 Segregation and the operation of client money accounts

…

PERG 4.3 Regulated activities related to mortgages

As Published: 2015

PERG 4.3 Regulated activities related to mortgages

…

CONC 8.2 Conduct standards: debt advice

As Published: 2015

CONC 8.2 Conduct standards: debt advice

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COLL 2.1 Authorised fund applications

EG 13.6 Petitioning for compulsory winding up on just and equitable grounds

APER 4.6 Statement of Principle 6

SUP 16.7A Annual report and accounts

FEES 5.3 The general levy

CASS 12.2 Treatment of client money

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

IPRU-INV 14.1 APPLICATION

FEES 2.3 Relieving Provisions

EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004