561 - 580 of 587 items.
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Form of Approved Bank Bond (with power of attorney)
Chapter: IPRU-INV Annex D 3.6
Effective Date: 1st October 2009
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Consolidated supervision return for investment firms
Chapter: SUP 16 Annex 22
Effective Date: 1st April 2009
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Calculation of a maximum rate of commission
Chapter: COBS 6 Annex 5
Effective Date: 1st November 2007
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"Identifying and describing the maximum rate of commission (or equivalent)"
Chapter: COBS 6 Annex 4
Effective Date: 1st November 2007
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Form of Bond for Authorised Professional Firms
Chapter: IPRU-INV Annex D 2
Effective Date: 1st November 2007
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Cancellation of Part IV Permission
Chapter: Handbook Forms, Module: SUP
Effective Date: 1st July 2007
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Guidance notes on completion of securities and futures firms' reporting forms
Chapter: SUP 16 Annex 11
Effective Date: 1st May 2007
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UCITS management companies reporting forms and requirements applying to their completion
Chapter: SUP 16 Annex 16
Effective Date: 6th April 2007
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Investment Management firms' reporting forms and requirements applying to their completion
Chapter: SUP 16 Annex 5
Effective Date: 6th April 2007
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Consolidated supervision return for investment firms (Notes)
Chapter: SUP 16 Annex 23
Effective Date: 6th April 2007
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Securities and Futures Firms' Reporting Forms and Requirements Applying to their Completion
Chapter: SUP 16 Annex 10
Effective Date: 6th April 2007
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Notes on completing the Quarterly Return (CQ) for credit unions
Chapter: SUP 16 Annex 15
Effective Date: 1st January 2007