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Showing 1 to 10 of 44 search results

  1. Consolidated list of waivers, modifications and CRR permissions granted [xlsx]

    Waivers and CRR notices Published: 26/06/2020
    The majority of waivers, modifications and CRR Permissions granted are published in full. Certain waivers, modifications and CRR Permission are published in abridged form, generally to protect the commercial interests of the firm concerned. A small number of waivers, modifications and CRR remain unpublished.
  2. List of firms that have the modification by consent of SUP 10C.3.13 and SYSC 24.2.1 [xlsx]

    Waivers and CRR notices Published: 15/05/2020 Last modified: 05/06/2020
    Firms that have applied for this Modification by Consent. Firms can use this if they think they may need to make or extend temporary arrangements to cover absences, as a result of the coronavirus (Covid-19) crisis
  3. Principles for Businesses (PRIN) [pdf]

    Waivers and CRR notices Published: 03/05/2020 Last modified: 16/01/2020
    Waivers Principles for Businesses (PRIN) - Sourcebook or manual to which waivers of rules apply
  4. New Collective Investment Schemes (Waivers) [pdf]

    Waivers and CRR notices Published: 30/04/2020 Last modified: 30/04/2020
  5. Prudential sourcebook for Investment Firms (Waivers) [pdf]

    Waivers and CRR notices Published: 30/04/2020 Last modified: 30/04/2020
  6. Market conduct (MAR) [pdf]

    Waivers and CRR notices Published: 30/04/2020 Last modified: 30/04/2020
    Waivers Market conduct (MAR) - Sourcebook or manual to which waivers of rules apply
  7. General Provisions (GEN) [pdf]

    Waivers and CRR notices Published: 30/04/2020 Last modified: 30/04/2020
    Waivers General Provisions (GEN) - Sourcebook or manual to which waivers of rules apply
  8. Client Assets (CASS) [pdf]

    Waivers and CRR notices Published: 30/04/2020 Last modified: 30/04/2020
    Waivers Client Assets (CASS) - Sourcebook or manual to which waivers of rules apply
  9. General Prudential (GENPRU) [pdf]

    Waivers and CRR notices Published: 30/04/2020 Last modified: 30/04/2020
    Waivers General Prudential (GENPRU) - Sourcebook or manual to which waivers of rules apply
  10. Dispute resolution: Complaints (DISP) [pdf]

    Waivers and CRR notices Published: 30/04/2020 Last modified: 30/04/2020
    Dispute resolution: Complaints (DISP) - Sourcebook or manual to which waivers of rules apply