Search Result
SUP 11.3 Requirements on controllers or proposed controllers under the Act
As Published: 2001
SUP 11.3 Requirements on controllers or proposed controllers under the Act
…
PERG 13.3 Investment Services and Activities
As Published: 2012
PERG 13.3 Investment Services and Activities
…
EG 19.23 Electronic Money Regulations 2011
As Published: 2016
EG 19.23 Electronic Money Regulations 2011
…
SUP 12.7 Notification and reporting requirements
As Published: 2002
SUP 12.7 Notification and reporting requirements
…
EG 6.5 Publicity during, or upon the conclusion of civil action
As Published: 2016
EG 6.5 Publicity during, or upon the conclusion of civil action
…
DTR 6.1 Information requirements for issuers of shares and debt securities
As Published: 2006
DTR 6.1 Information requirements for issuers of shares and debt securities
…
TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
…
COBS 11.2 Best execution for AIFMs and residual CIS operators
As Published: 2007
COBS 11.2 Best execution for AIFMs and residual CIS operators
…
COBS 12.2 Investment research and non-independent research
As Published: 2007
COBS 12.2 Investment research and non-independent research
…
REC 3.21 Criminal offences and civil prohibitions
As Published: 2013
REC 3.21 Criminal offences and civil prohibitions
…