Search Result

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

…

PERG 5.12 Link between activities and the United Kingdom

As Published: 2005

PERG 5.12 Link between activities and the United Kingdom

…

CONC 7.12 Lenders’ responsibilities in relation to debt

As Published: 2020

CONC 7.12 Lenders’ responsibilities in relation to debt

…

REC 2.10 Financial crime and market abuse

As Published: 2004

REC 2.10 Financial crime and market abuse

…

RCB 1.1 Introduction to sourcebook

As Published: 2008

RCB 1.1 Introduction to sourcebook

…

COLL 4.3 Approvals and notifications

As Published: 2006

COLL 4.3 Approvals and notifications

…

COLL 8.2 Constitution

As Published: 2007

COLL 8.2 Constitution

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

REC 4.1 Application and purpose

DTR 6.2 Filing information and use of language

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

FEES 5.3 The general levy

IPRU-INV 14.1 APPLICATION

SUP 15.12 Ongoing alerts for retail adviser complaints

FEES 2.3 Relieving Provisions

EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004

SYSC 4.2 Persons who effectively direct the business

CASS 9.3 Prime brokerage agreement disclosure annex

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

SUP 11.5 Notifications by firms

SYSC 2.1 Apportionment of Responsibilities