Search Result
REC 2A.4 Power and procedure for RAP penalties and censures
As Published: 2012
REC 2A.4 Power and procedure for RAP penalties and censures
…
CASS 11.3 Responsibility for CASS operational oversight
As Published: 2015
CASS 11.3 Responsibility for CASS operational oversight
…
SYSC 8.1 General outsourcing requirements
As Published: 2006
SYSC 8.1 General outsourcing requirements
…
SUP 10A.8 Systems and controls functions
As Published: 2013
SUP 10A.8 Systems and controls functions
…
EG 19.27 Alternative Investment Fund Managers Regulations 2013
As Published: 2016
EG 19.27 Alternative Investment Fund Managers Regulations 2013
…
PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
As Published: 2005
PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
…
DEPP 6A.3 Determining the appropriate length of the period of suspension, restriction, condition or disciplinary prohibition
As Published: 2011
DEPP 6A.3 Determining the appropriate length of the period of suspension, restriction, condition or disciplinary prohibition
…
SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
…
LR 7.2 The Listing and Premium Listing Principles
As Published: 2009
LR 7.2 The Listing and Premium Listing Principles
…