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

…

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

As Published: 2001

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

…

FEES 8.1 [deleted]

As Published: 2013

FEES 8.1 [deleted]

…

SYSC 21.1 Risk control: guidance on governance arrangements

As Published: 2010

SYSC 21.1 Risk control: guidance on governance arrangements

…

COCON 2.3 Firms: training and breaches

As Published: 2015

COCON 2.3 Firms: training and breaches

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

APER 4.1 Statement of Principle 1

BIPRU 5.6 Master netting agreements

SUP 16.17 Remuneration reporting [deleted]

REC 6A.2 Removal of passport rights from EEA market operator

EG 19.10 Enterprise Act 2002

PERG 4.10 Exclusions applying to more than one regulated activity

SUP 8.8 Revoking waivers

REC 2.13 Promotion and maintenance of standards

REC 3.3 Waivers

PERG 16.4 Acting as a depositary of an AIF

SYSC 22.5 Giving references: additional rules and guidance for all firms

EG 15.4 Disqualification under section 249 or section 261K

SUP 4.4 Appropriate actuaries

SUP 16.20 Submission of recovery plans and information for resolution plans [deleted]

SUP 8.9 Decision making