Search Result
SUP 15.8 Notification in respect of particular products and services
As Published: 2001
SUP 15.8 Notification in respect of particular products and services
…
REC 3.22 Restriction of, or instruction to close out, open positions
As Published: 2011
REC 3.22 Restriction of, or instruction to close out, open positions
…
COLL 6.10 Senior personnel responsibilities
As Published: 2011
COLL 6.10 Senior personnel responsibilities
…
DTR 1B.1 Application and purpose (Corporate governance)
As Published: 2008
DTR 1B.1 Application and purpose (Corporate governance)
…
PERG 9.6 The investment condition (section 236(3) of the Act): general
As Published: 2009
PERG 9.6 The investment condition (section 236(3) of the Act): general
…
COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
As Published: 2010
COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
…
EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017
As Published: 2016
EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017
…
SUP 16.13 Reporting under the Payment Services Regulations
As Published: 2010
SUP 16.13 Reporting under the Payment Services Regulations
…
FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
As Published: 2012
FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
…
SUP 16.15 Reporting under the Electronic Money Regulations
As Published: 2011
SUP 16.15 Reporting under the Electronic Money Regulations
…
SUP 18.3 Insurance business transfers outside the United Kingdom
As Published: 2015
SUP 18.3 Insurance business transfers outside the United Kingdom
…
DTR 6.1 Information requirements for issuers of shares and debt securities
As Published: 2006
DTR 6.1 Information requirements for issuers of shares and debt securities
…