Search Result
SUP 10C.11 Statements of responsibilities
As Published: 2015
SUP 10C.11 Statements of responsibilities
…
CONC 5A.5 Consequences of contravention of the cost caps
As Published: 2015
CONC 5A.5 Consequences of contravention of the cost caps
…
CONC 6.7 Post contract: business practices
As Published: 2014
CONC 6.7 Post contract: business practices
…
SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?
As Published: 2004
SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?
…
COBS 18.5 Residual CIS operators and small authorised UK AIFMs
As Published: 2007
COBS 18.5 Residual CIS operators and small authorised UK AIFMs
…
PERG 11.2 Guidance on property investment clubs
As Published: 2013
PERG 11.2 Guidance on property investment clubs
…
SYSC 19A.1 General application and purpose
As Published: 2010
SYSC 19A.1 General application and purpose
…
GEN 4.5 Statements about authorisation and regulation by the appropriate regulator
As Published: 2008
GEN 4.5 Statements about authorisation and regulation by the appropriate regulator
…
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
As Published: 2007
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
…
EG 3.3 Reports by skilled persons (section 166)
As Published: 2016
EG 3.3 Reports by skilled persons (section 166)
…
CASS 1A.3 Responsibility for CASS operational oversight
As Published: 2010
CASS 1A.3 Responsibility for CASS operational oversight
…
PERG 16.4 Acting as a depositary of an AIF
As Published: 2019
PERG 16.4 Acting as a depositary of an AIF
…
PERG 7.3 Does the activity require authorisation?
As Published: 2006
PERG 7.3 Does the activity require authorisation?
…