Search Result
REC 3.26 Proposals to make regulatory provision
As Published: 2007
REC 3.26 Proposals to make regulatory provision
…
SYSC 3.2 Areas covered by systems and controls
As Published: 2002
SYSC 3.2 Areas covered by systems and controls
…
COBS 14.3 Information about designated investments (non-MiFID provisions)
As Published: 2007
COBS 14.3 Information about designated investments (non-MiFID provisions)
…
REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
As Published: 2004
REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
…
COLL 6.11 Risk control and internal reporting
As Published: 2011
COLL 6.11 Risk control and internal reporting
…
SUP App 2.15 Run-off plans for closed with-profits funds
As Published: 2005
SUP App 2.15 Run-off plans for closed with-profits funds
…
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
…
MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements
As Published: 2009
MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements
…
REC 4.2D Suspension and removal of financial instruments from trading by the FCA
As Published: 2007
REC 4.2D Suspension and removal of financial instruments from trading by the FCA
…
PERG 4.11 Link between activities and the United Kingdom
As Published: 2007
PERG 4.11 Link between activities and the United Kingdom
…
TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
…
PERG 9.10 Significance of being an open-ended investment company
As Published: 2005
PERG 9.10 Significance of being an open-ended investment company
…