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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

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MAR 9.2 Authorisation and verification

As Published: 2017

MAR 9.2 Authorisation and verification

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DTR 1A.1 Application and purpose (Transparency rules)

As Published: 2006

DTR 1A.1 Application and purpose (Transparency rules)

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MAR 1.4 Unlawful disclosure

As Published: 2001

MAR 1.4 Unlawful disclosure

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IPRU-INV 5.4 Financial resources requirement

As Published: 2016

IPRU-INV 5.4 Financial resources requirement

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SYSC 14.1 Application

As Published: 2006

SYSC 14.1 Application

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SUP 10C.7 Other overall responsibility function (SMF18)

As Published: 2015

SUP 10C.7 Other overall responsibility function (SMF18)

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DTR 2.5 Delaying disclosure of inside information

As Published: 2008

DTR 2.5 Delaying disclosure of inside information

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SYSC 18.4 The whistleblowers’ champion

As Published: 2015

SYSC 18.4 The whistleblowers’ champion

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SYSC 6.2 Internal audit

As Published: 2007

SYSC 6.2 Internal audit

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COBS 9.4 Suitability reports

As Published: 2007

COBS 9.4 Suitability reports

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PERG 6.1 Application

As Published: 2005

PERG 6.1 Application

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Similar To

RCB 3.4 Covered Bond issuance notifications

MAR 6.4 Systematic internaliser reporting requirement

SUP 8A.4 Notification of altered circumstances relating to directions or waivers

EG 3.2A Information requests (section 122A)

EG 9.5 Prohibition orders against other individuals

DTR 8.3 Criteria for approval as a primary information provider

PERG 5.14 Exemptions

COLL 8.6 Termination, suspension, and schemes of arrangement