Search Result
SUP 15A.1 Application and notifications under EMIR
As Published: 2013
SUP 15A.1 Application and notifications under EMIR
…
CONC 4.3 Pre-contractual requirements and adequate explanations: P2P agreements
As Published: 2015
CONC 4.3 Pre-contractual requirements and adequate explanations: P2P agreements
…
EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions
As Published: 2015
EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions
…
BIPRU 4.4 The IRB approach: Exposures to corporates, institutions and sovereigns
As Published: 2006
BIPRU 4.4 The IRB approach: Exposures to corporates, institutions and sovereigns
…
REC 1.2 Purpose, status and quotations, notes or references
As Published: 2004
REC 1.2 Purpose, status and quotations, notes or references
…
DEPP 8.4 Use of the own-initiative variation of approval power in urgent cases
As Published: 2015
DEPP 8.4 Use of the own-initiative variation of approval power in urgent cases
…
COLL 4.7 Key investor information and marketing communications
As Published: 2011
COLL 4.7 Key investor information and marketing communications
…
MCOB 6.9 Regulated sale and rent back agreements
As Published: 2010
MCOB 6.9 Regulated sale and rent back agreements
…
SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?
…
SYSC 4.3 Responsibility of senior personnel
As Published: 2007
SYSC 4.3 Responsibility of senior personnel
…
SYSC 13.4 Requirements to notify the appropriate regulator
As Published: 2016
SYSC 13.4 Requirements to notify the appropriate regulator
…
PERG 2.4 Link between activities and the United Kingdom
As Published: 2007
PERG 2.4 Link between activities and the United Kingdom
…
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
…
SUP 15.6 Inaccurate, false or misleading information
As Published: 2005
SUP 15.6 Inaccurate, false or misleading information
…
PERG 16.4 Acting as a depositary of an AIF
As Published: 2019
PERG 16.4 Acting as a depositary of an AIF
…