1 - 20 of 39 items.
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Annual questionnaire for authorised professional firms
Chapter: SUP 16 Annex 9
Effective Date: 6th July 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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Consolidated supervision return for investment firms
Chapter: SUP 16 Annex 22
Effective Date: 6th April 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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Products covered by the reporting requirement in SUP 16.11
Chapter: SUP 16 Annex 20
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 for completion of the Mortgage Lenders & Administrators Return ('MLAR')
Chapter: SUP 16 Annex 19B
Effective Date: 1st 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
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Form A: Application to perform controlled functions under the approved person regime (May 2006)
Chapter: SUP 10 Annex 4
Effective Date: 6th May 2006