Search Result
PERG 7.3 Does the activity require authorisation?
As Published: 2006
PERG 7.3 Does the activity require authorisation?
…
BIPRU 4.5 The IRB approach: Specialised lending exposures
As Published: 2007
BIPRU 4.5 The IRB approach: Specialised lending exposures
…
PERG 8.31 Exclusions for advising on investments
As Published: 2007
PERG 8.31 Exclusions for advising on investments
…
SYSC 4.3 Responsibility of senior personnel
As Published: 2007
SYSC 4.3 Responsibility of senior personnel
…
CASS 9.3 Prime brokerage agreement disclosure annex
As Published: 2010
CASS 9.3 Prime brokerage agreement disclosure annex
…
COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
As Published: 2010
COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
…
MIPRU 4.2D Liquidity resources requirements
As Published: 2013
MIPRU 4.2D Liquidity resources requirements
…
SUP 11.8 Changes in the circumstances of existing controllers
As Published: 2004
SUP 11.8 Changes in the circumstances of existing controllers
…
MAR 5.5 Monitoring compliance with the rules of the MTF
As Published: 2003
MAR 5.5 Monitoring compliance with the rules of the MTF
…
MAR 5A.7 Monitoring compliance with the rules of the OTF
As Published: 2017
MAR 5A.7 Monitoring compliance with the rules of the OTF
…