Search Result
CASS 11.4 Definition of client money and the discharge of fiduciary duty
As Published: 2014
CASS 11.4 Definition of client money and the discharge of fiduciary duty
…
DEPP 6.2 Deciding whether to take action
As Published: 2007
DEPP 6.2 Deciding whether to take action
…
COLL 12.3 EEA UCITS management companies
As Published: 2013
COLL 12.3 EEA UCITS management companies
…
SUP 10C.10 Application for approval and withdrawing an application for approval
As Published: 2015
SUP 10C.10 Application for approval and withdrawing an application for approval
…
SUP 12.7 Notification and reporting requirements
As Published: 2002
SUP 12.7 Notification and reporting requirements
…
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order
…
TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
…
MAR 8.3 Requirements for benchmark administrators [deleted]
As Published: 2015
MAR 8.3 Requirements for benchmark administrators [deleted]
…
CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments
As Published: 2016
CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments
…
INSPRU 8.2 Special provisions for Lloyd's
As Published: 2009
INSPRU 8.2 Special provisions for Lloyd's
…
SUP 15.11 Notification of COCON breaches and disciplinary action
As Published: 2015
SUP 15.11 Notification of COCON breaches and disciplinary action
…