Search Result
SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
…
EG 19.7 The Open-Ended Investment Companies Regulations 2001
As Published: 2016
EG 19.7 The Open-Ended Investment Companies Regulations 2001
…
COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
As Published: 2005
COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
…
MCOB 1.6 Distinguishing regulated mortgage contracts and regulated credit agreements
As Published: 2004
MCOB 1.6 Distinguishing regulated mortgage contracts and regulated credit agreements
…
SYSC 2.1 Apportionment of Responsibilities
As Published: 2002
SYSC 2.1 Apportionment of Responsibilities
…
BIPRU 12.9 Individual liquidity guidance and regulatory intervention points
As Published: 2012
BIPRU 12.9 Individual liquidity guidance and regulatory intervention points
…
EG 2.4 Case selection: Unauthorised business
As Published: 2016
EG 2.4 Case selection: Unauthorised business
…
EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)
As Published: 2016
EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)
…
EG 15.3 Disqualification under section 345
As Published: 2016
EG 15.3 Disqualification under section 345
…
MCOB 5A.4 Provision of a European Standardised Information Sheet (ESIS)
As Published: 2015
MCOB 5A.4 Provision of a European Standardised Information Sheet (ESIS)
…
REC 2.5 Systems and controls, algorithmic trading and conflicts
As Published: 2004
REC 2.5 Systems and controls, algorithmic trading and conflicts
…
SUP 3.10 Duties of auditors: notification and report on client assets
As Published: 2004
SUP 3.10 Duties of auditors: notification and report on client assets
…