Search Result

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

…

SYSC 4.6 Management responsibilities maps for non-UK relevant authorised persons

As Published: 2015

SYSC 4.6 Management responsibilities maps for non-UK relevant authorised persons

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

ICOBS 1.1 The general application rule

COLL 4.2 Pre-sale notifications

PERG 8.2 Introduction

PERG 5.3 Contracts of insurance

ICOBS 6.1 General

SUP 6.2 Introduction

DISP App 1.2 The standard approach to redress

SYSC 4.8 Senior management responsibilities for third-country relevant authorised persons: allocation of responsibilities

REC 2.5 Systems and controls and conflicts

SUP 13.4 Providing cross border services into another EEA State

SYSC 1.4 Application of SYSC 11 to SYSC 21

PERG 8.8 Having an effect in the United Kingdom

COND 2.5 Suitability

SUP 13.3 Establishing a branch in another EEA State

SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

PERG 8.5 In the course of business

SUP 10C.1 Application

SUP 6.5 Ending authorisation

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

SYSC 4.6 Management responsibilities maps for non-UK relevant authorised persons