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

…

COCON 3.1 General factors for assessing compliance

As Published: 2016

COCON 3.1 General factors for assessing compliance

…

SUP 16.9 Appointed representatives annual report

As Published: 2002

SUP 16.9 Appointed representatives annual report

…

SUP 16.5 Annual Close Links Reports

As Published: 2001

SUP 16.5 Annual Close Links Reports

…

SUP 4.2 Purpose

As Published: 2001

SUP 4.2 Purpose

…

LR 12.5 Purchase of own securities other than equity shares

As Published: 2007

LR 12.5 Purchase of own securities other than equity shares

…

DTR 6.4 Disclosure of Home State

As Published: 2015

DTR 6.4 Disclosure of Home State

…

REC 3.25 Significant breaches of rules and disorderly trading conditions

As Published: 2007

REC 3.25 Significant breaches of rules and disorderly trading conditions

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

MCOB 8.3 Application of rules in MCOB 4

LR 15.2 Requirements for listing

FEES 5.1 Application and Purpose

SUP 11.6 Subsequent notification requirements by firms

SUP 10A.11 Minimising overlap with the PRA approved persons regime [deleted]

MAR 8.2 Requirements for benchmark submitters [deleted]

REC 3.7 Auditors

PERG 8.6 Communicate

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

CONC 4.2 Pre-contract disclosure and adequate explanations

SUP 8.3 Applying for a waiver

REC 4.1 Application and purpose