Prudential Sourcebook for Banks, Building Societies and Investment Firms (Waivers)
|
|
|
- Ashley Higgins
- 7 years ago
- Views:
Transcription
1 The FCA Register is at BIPRU Abbey National Treasury Services Plc /02/ /02/2013 Waiver BIPRU ABC International Bank Plc /06/ /06/2014 Modification BIPRU Bank of London and The Middle East plc /05/ /03/2012 Modification BIPRU Bank of London and The Middle East plc /03/ /05/2014 Modification BIPRU Bank of Scotland plc /09/ /04/2008 Modification BIPRU Bank of Scotland plc /06/ /06/2013 Modification BIPRU Bradford & Bingley Plc /10/ /03/2009 Modification BIPRU Bradford & Bingley Plc /04/ /06/2009 Modification BIPRU Bradford & Bingley Plc /04/ /04/2013 Modification BIPRU Britannia Building Society /09/ /09/2012 Modification BIPRU Britannia Building Society /12/ /09/2012 Modification BIPRU Close Brothers Limited /06/ /06/2013 Modification BIPRU Close Brothers Limited /10/ /10/2013 Modification BIPRU Close Brothers Limited /01/ /10/2013 Modification BIPRU Close Brothers Limited /03/ /10/2013 Waiver BIPRU Close Brothers Limited /10/ /10/2014 Waiver BIPRU Clydesdale Bank Plc /05/ /11/2014 Modification BIPRU Coventry Building Society /09/ /09/2015 Modification BIPRU Danske Bank A/S /01/ /05/2012 Modification BIPRU Derbyshire Building Society /01/ /01/2013 Modification BIPRU Dunfermline Building Society (in building society special administr /04/ /04/2012 Modification BIPRU EFG Private Bank Limited /09/ /12/2008 Modification BIPRU HBOS Treasury Services Plc /04/ /09/2007 Modification BIPRU HBOS Treasury Services Plc /11/ /04/2008 Modification BIPRU ICBC Standard Bank Plc /10/ /10/2012 Waiver BIPRU Kaupthing Singer & Friedlander Limited /09/ /09/2012 Modification 1 of 231
2 BIPRU Kent Reliance Building Society /07/ /07/2013 Modification BIPRU Manchester Building Society /09/ /09/2012 Waiver BIPRU Manchester Building Society /01/ /09/2012 Waiver BIPRU MBNA Limited /03/ /09/2015 Modification BIPRU N M Rothschild & Sons Ltd /07/ /07/2012 Modification BIPRU N M Rothschild & Sons Ltd /11/ /11/2014 Waiver BIPRU Nationwide Building Society /02/ /02/2013 Modification BIPRU Nationwide Building Society /11/ /11/2014 Modification BIPRU OneSavings Bank Plc /02/ /09/2012 Modification BIPRU OneSavings Bank Plc /09/ /02/2016 Modification BIPRU Santander UK Plc /02/ /02/2013 Waiver BIPRU Secure Trust Bank Plc /05/ /05/2017 Modification BIPRU Shawbrook Bank Limited /10/ /10/2013 Waiver BIPRU Skipton Building Society /08/ /08/2014 Modification BIPRU Standard Chartered Bank /04/ /04/2015 Waiver BIPRU The Co-operative Bank Plc /09/ /09/2014 Waiver BIPRU The Royal Bank of Scotland Plc /11/ /11/2012 Modification BIPRU West Bromwich Building Society /04/ /04/2015 Modification BIPRU Yorkshire Building Society /02/ /10/2011 Modification BIPRU Yorkshire Building Society /11/ /12/2016 Modification BIPRU Chancery (UK) LLP /01/ /12/2015 Modification BIPRU Halifax Plc /01/ /07/2011 Modification BIPRU Danske Bank A/S /01/ /05/2012 Modification BIPRU Danske Bank A/S /01/ /05/2012 Modification BIPRU Abbey National Treasury Services Plc /12/2007 Modification BIPRU Alliance & Leicester Commercial Bank Plc /01/2007 Modification BIPRU Alliance & Leicester Plc /01/2007 Modification BIPRU Bank of Scotland (Ireland) Limited /01/2008 Modification BIPRU Bank of Scotland plc /01/2008 Modification 2 of 231
3 BIPRU Barclays Bank Plc /01/2008 Modification BIPRU Barclays Bank Plc /12/2013 Modification BIPRU Barclays Capital Securities Limited /01/2008 Modification BIPRU Barclays Capital Securities Limited /12/2013 Modification BIPRU Britannia Building Society /01/ /08/2009 Modification BIPRU Coventry Building Society /01/2008 Modification BIPRU Goldman Sachs International /01/2008 Modification BIPRU Goldman Sachs International Bank /01/2008 Modification BIPRU HSBC Bank Plc /01/2008 Modification BIPRU HSBC Holdings Plc /01/2008 Modification BIPRU Lloyds Bank PLC /01/2008 Modification BIPRU Merrill Lynch International /01/ /05/2009 Modification BIPRU Morgan Stanley & Co Ltd /01/2008 Modification BIPRU Morgan Stanley & Co. International Plc /01/2008 Modification BIPRU Morgan Stanley Bank International Limited /01/2008 Modification BIPRU Morgan Stanley Capital Group Ltd /01/ /09/2011 Modification BIPRU Morgan Stanley Investment Management (ACD) Limited /01/2008 Modification BIPRU Morgan Stanley Investment Management Limited /01/2008 Modification BIPRU Morgan Stanley Securities ACD Ltd /01/2008 Modification BIPRU Morgan Stanley Securities Ltd /01/2008 Modification BIPRU National Westminster Bank Plc /01/2008 Modification BIPRU Nationwide Building Society /07/2008 Waiver BIPRU Norwich and Peterborough Building Society /01/2007 Modification BIPRU NRAM plc /06/ /01/2010 Waiver BIPRU Principality Building Society /09/2013 Modification BIPRU Santander UK Plc /12/ /12/2009 Modification BIPRU Santander UK Plc /06/2008 Modification BIPRU Scottish Widows Bank Plc /01/2008 Modification BIPRU SMBC Derivative Products Limited /01/ /12/2013 Modification 3 of 231
4 BIPRU SMBC Nikko Capital Markets Limited /01/ /12/2013 Modification BIPRU Standard Chartered Bank /01/2008 Modification BIPRU Standard Life Bank Plc /07/2007 Modification BIPRU Sumitomo Mitsui Banking Corporation Europe Limited /01/2008 Modification BIPRU TD Bank Europe Limited /01/2008 Modification BIPRU TD Securities Limited /01/ /11/2015 Modification BIPRU The Co-operative Bank Plc /01/2008 Modification BIPRU The Royal Bank of Scotland Plc /01/2008 Modification BIPRU TSB Bank plc /01/2008 Modification BIPRU Virgin Money plc /01/2010 Modification BIPRU Abbey National Treasury Services Plc /01/ /12/2015 Waiver BIPRU Bank of Ireland (UK) Plc /01/ /12/2015 Modification BIPRU Cater Allen Limited /01/ /12/2015 Modification BIPRU IG Index Limited /11/ /09/2015 Waiver BIPRU IG Markets Limited /11/ /09/2015 Waiver BIPRU Jefferies International Ltd /12/ /12/2015 Modification BIPRU Kyte Broking Limited /11/ /11/2016 Modification BIPRU Leucadia Investment Management Limited /12/ /12/2015 Modification BIPRU Morgan Stanley & Co Ltd /01/ /04/2013 Modification BIPRU Morgan Stanley & Co. International Plc /01/ /04/2013 Modification BIPRU Morgan Stanley Bank International Limited /01/ /04/2013 Modification BIPRU Morgan Stanley Investment Management Limited /01/ /04/2013 Modification BIPRU Morgan Stanley Securities Ltd /01/ /04/2013 Modification BIPRU Nomura Bank International Plc /12/ /10/2015 Modification BIPRU Nomura International Plc /12/ /10/2015 Modification BIPRU Pershing Limited /12/ /12/2015 Waiver BIPRU Pershing Securities Ltd /12/ /12/2015 Waiver BIPRU R.J. O'Brien Limited /11/ /11/2016 Modification BIPRU Santander UK Plc /01/ /12/2015 Modification 4 of 231
5 BIPRU (1) Bank of Scotland plc /01/ /12/2015 Modification BIPRU (1) Jefferies Bache Limited /12/ /12/2015 Modification BIPRU (1) Lloyds Bank PLC /01/ /12/2015 Modification BIPRU (1) Lloyds Bank Private Banking Limited /01/ /12/2015 Modification BIPRU (1) Scottish Widows Bank Plc /01/ /12/2015 Modification BIPRU (1) TSB Bank plc /01/ /12/2015 Modification BIPRU (2) Adam & Company Plc /07/ /06/2013 Modification BIPRU (2) Adam & Company Plc /06/ /07/2014 Waiver BIPRU (2) Bank of Scotland plc /01/ /12/2015 Modification BIPRU (2) Barclays Bank Plc /12/ /09/2013 Modification BIPRU (2) Barclays Bank Trust Company Limited /12/ /09/2013 Modification BIPRU (2) Barclays Capital Securities Limited /12/ /09/2013 Modification BIPRU (2) Barclays Stockbrokers Limited /12/ /09/2013 Modification BIPRU (2) Barclays Stockbrokers Limited /10/ /02/2014 Modification BIPRU (2) Coutts & Company /07/ /06/2013 Modification BIPRU (2) Coutts & Company /06/ /07/2014 Waiver BIPRU (2) DB UK Bank Limited /12/ /12/2015 Modification BIPRU (2) Deutsche Trustee Company Ltd /12/ /12/2015 Modification BIPRU (2) Gerrard Investment Management Limited /12/ /09/2013 Modification BIPRU (2) Gerrard Investment Management Limited /10/ /02/2014 Modification BIPRU (2) Goldman Sachs Asset Management International /12/ /12/2014 Modification BIPRU (2) Goldman Sachs Asset Management International /12/ /12/2014 Modification BIPRU (2) Goldman Sachs International /12/ /12/2014 Modification BIPRU (2) Goldman Sachs International /12/ /12/2014 Modification BIPRU (2) Goldman Sachs International Bank /12/ /12/2014 Modification BIPRU (2) Habib Allied International Bank plc /01/ /09/2015 Modification BIPRU (2) Habibsons Bank Limited /01/ /09/2015 Modification BIPRU (2) HFC Bank Limited /12/ /09/2013 Modification BIPRU (2) HFC Bank Limited /12/ /12/2016 Modification 5 of 231
6 BIPRU (2) HSBC Bank Plc /12/ /09/2013 Modification BIPRU (2) HSBC Bank Plc /12/ /12/2016 Modification BIPRU (2) HSBC Global Asset Management (UK) Limited /12/ /09/2013 Modification BIPRU (2) HSBC Private Bank (UK) Limited /09/ /09/2013 Modification BIPRU (2) HSBC Private Bank (UK) Limited /12/ /12/2016 Modification BIPRU (2) HSBC Trust Company (UK) Ltd /12/ /09/2013 Modification BIPRU (2) HSBC Trust Company (UK) Ltd /12/ /12/2016 Modification BIPRU (2) Investec Bank PLC /12/ /04/2015 Waiver BIPRU (2) J.P Morgan Private Fund Management Limited /12/ /03/2015 Waiver BIPRU (2) J.P. Morgan Europe Limited /12/ /03/2015 Waiver BIPRU (2) J.P. Morgan International Bank Limited /12/ /03/2015 Waiver BIPRU (2) J.P. Morgan Limited /12/ /03/2015 Waiver BIPRU (2) J.P. Morgan Securities plc /12/ /03/2015 Waiver BIPRU (2) J.P. Morgan Trustee and Depositary Company Limited /12/ /03/2015 Waiver BIPRU (2) Lloyds Bank PLC /01/ /12/2015 Modification BIPRU (2) Lloyds Bank Private Banking Limited /01/ /12/2015 Modification BIPRU (2) Marks & Spencer Financial Services Plc /12/ /09/2013 Modification BIPRU (2) Marks & Spencer Financial Services Plc /12/ /12/2016 Modification BIPRU (2) Merrill Lynch International /04/ /04/2014 Modification BIPRU (2) Merrill Lynch International Bank Designated Activity Company /04/ /04/2014 Modification BIPRU (2) Morgan Stanley & Co Ltd /03/ /12/2013 Modification BIPRU (2) Morgan Stanley & Co Ltd /12/ /12/2015 Modification BIPRU (2) Morgan Stanley & Co. International Plc /03/ /12/2013 Modification BIPRU (2) Morgan Stanley & Co. International Plc /12/ /09/2015 Modification BIPRU (2) Morgan Stanley Bank International Limited /03/ /12/2013 Modification BIPRU (2) Morgan Stanley Bank International Limited /12/ /09/2015 Modification BIPRU (2) Morgan Stanley Investment Management Limited /03/ /12/2013 Modification BIPRU (2) Morgan Stanley Investment Management Limited /12/ /12/2015 Modification BIPRU (2) Morgan Stanley Securities Ltd /03/ /12/2013 Modification 6 of 231
7 BIPRU (2) Morgan Stanley Securities Ltd /12/ /09/2015 Modification BIPRU (2) National Westminster Bank Plc /07/ /06/2013 Modification BIPRU (2) National Westminster Bank Plc /06/ /07/2014 Waiver BIPRU (2) Scottish Widows Bank Plc /01/ /12/2015 Modification BIPRU (2) The Royal Bank of Scotland Plc /07/ /06/2013 Modification BIPRU (2) The Royal Bank of Scotland Plc /06/ /07/2014 Modification BIPRU (2) TSB Bank plc /01/ /12/2015 Modification BIPRU (2) Ulster Bank Ltd /07/ /06/2013 Modification BIPRU (2) Ulster Bank Ltd /06/ /07/2014 Waiver BIPRU IG Index Limited /11/ /09/2015 Waiver BIPRU IG Markets Limited /11/ /09/2015 Waiver BIPRU Standard Chartered Bank /09/ /11/2015 Waiver BIPRU Standard Chartered Bank /09/ /11/2015 Waiver BIPRU Bank of Scotland plc /12/ /12/2010 Modification BIPRU Barclays Bank Plc /12/ /12/2010 Modification BIPRU Equistone Partners Europe Limited /12/ /12/2010 Modification BIPRU HSBC Bank Plc /12/ /12/2009 Modification BIPRU HSBC Bank Plc /12/ /12/2011 Modification BIPRU Lloyds Bank PLC /12/ /12/2009 Modification BIPRU Lloyds Bank PLC /12/ /12/2010 Modification BIPRU The Royal Bank of Scotland Plc /09/ /12/2013 Modification BIPRU Aberdeen Asset Investments Limited /12/ /02/2010 Modification BIPRU Aberdeen Investment Solutions Limited /12/ /02/2010 Modification BIPRU AMC Bank Ltd /12/ /02/2010 Modification BIPRU Bank of Scotland plc /12/ /12/2009 Modification BIPRU Barclays Bank Plc /12/ /12/2009 Modification BIPRU HSBC Bank Plc /12/ /02/2010 Modification BIPRU HSBC Private Bank (UK) Limited /12/ /02/2010 Modification BIPRU HSBC Trust Company (UK) Ltd /12/ /02/2010 Modification 7 of 231
8 BIPRU Lloyds Bank PLC /12/ /02/2010 Modification BIPRU Lloyds Bank Private Banking Limited /12/ /02/2010 Modification BIPRU Marks & Spencer Financial Services Plc /12/ /02/2010 Modification BIPRU National Westminster Bank Plc /12/ /02/2010 Modification BIPRU Scottish Widows Bank Plc /12/ /02/2010 Modification BIPRU Standard Chartered Bank /12/ /02/2010 Modification BIPRU The Royal Bank of Scotland Plc /12/ /02/2010 Modification BIPRU TSB Bank plc /12/ /02/2010 Modification BIPRU Ulster Bank Ltd /12/ /02/2010 Modification BIPRU Credit Suisse International /01/ /06/2010 Modification BIPRU Credit Suisse International /06/ /12/2010 Modification BIPRU Credit Suisse International /01/ /06/2012 Modification BIPRU Credit Suisse Securities (Europe) Ltd /01/ /06/2010 Modification BIPRU Credit Suisse Securities (Europe) Ltd /06/ /12/2010 Modification BIPRU Credit Suisse Securities (Europe) Ltd /01/ /12/2011 Modification BIPRU Maple Securities (UK) Ltd /01/2008 Modification BIPRU National Westminster Bank Plc /01/ /12/2011 Modification BIPRU National Westminster Bank Plc /01/ /12/2012 Modification BIPRU National Westminster Bank Plc /01/ /12/2013 Modification BIPRU The Royal Bank of Scotland Plc /01/ /12/2011 Modification BIPRU The Royal Bank of Scotland Plc /01/ /12/2012 Modification BIPRU The Royal Bank of Scotland Plc /01/ /12/2013 Modification BIPRU UBS Limited /01/2008 Modification BIPRU Ulster Bank Ltd /01/ /12/2011 Modification BIPRU Ulster Bank Ltd /01/ /12/2012 Modification BIPRU Ulster Bank Ltd /01/ /12/2013 Modification BIPRU Aberdeen Asset Investments Limited /01/ /02/2011 Modification BIPRU Aberdeen Investment Solutions Limited /01/ /02/2011 Modification BIPRU AMC Bank Ltd /01/ /02/2011 Modification 8 of 231
9 BIPRU Banco Halifax Hispania S.A. Sociedad Unipersonal /01/ /02/2011 Modification BIPRU Bank of Scotland (Ireland) Limited /01/ /02/2011 Modification BIPRU Bank of Scotland plc /01/ /02/2011 Modification BIPRU Barclays Bank Plc /01/2008 Modification BIPRU Barclays Capital Securities Limited /01/2008 Modification BIPRU Canada Square Operations Limited /01/2008 Waiver BIPRU Citibank International Limited /01/2008 Waiver BIPRU CitiFinancial Europe Plc /01/2008 Waiver BIPRU Citigroup Global Markets Limited /01/2008 Waiver BIPRU Citigroup Global Markets U.K. Equity Limited /01/2008 Waiver BIPRU Fairfax I.S. PLC (In Administration) /01/ /12/2011 Modification BIPRU Lloyds Bank PLC /01/ /02/2011 Modification BIPRU Lloyds Bank Private Banking Limited /01/ /02/2011 Modification BIPRU Lloyds TSB Financial Advisers Limited /01/ /02/2011 Modification BIPRU Scottish Widows Bank Plc /01/ /02/2011 Modification BIPRU Spread Co Limited /01/ /12/2011 Waiver BIPRU TSB Bank plc /01/ /02/2011 Modification BIPRU World First Markets Limited /03/ /05/2011 Modification BIPRU Aberdeen Asset Investments Limited /02/ /02/2016 Waiver BIPRU Aberdeen Investment Solutions Limited /02/ /02/2016 Waiver BIPRU AMC Bank Ltd /02/ /02/2016 Waiver BIPRU Bank of Scotland plc /02/ /02/2016 Waiver BIPRU Lloyds Bank PLC /02/ /02/2016 Waiver BIPRU Lloyds Bank Private Banking Limited /02/ /02/2016 Waiver BIPRU Lloyds TSB Financial Advisers Limited /02/ /02/2016 Waiver BIPRU Scottish Widows Bank Plc /02/ /02/2016 Waiver BIPRU TSB Bank plc /02/ /02/2016 Waiver BIPRU (1) Bank and Clients PLC /05/ /04/2013 Waiver BIPRU (1) Daiwa Capital Markets Europe Limited /09/ /12/2009 Waiver 9 of 231
10 BIPRU (1) Daiwa Corporate Advisory Limited /09/ /12/2009 Waiver BIPRU (1) Virgin Money Personal Financial Service Ltd /05/ /04/2013 Waiver BIPRU (1) Virgin Money plc /05/ /04/2013 Waiver BIPRU (1) Virgin Money Unit Trust Managers Ltd /05/ /04/2013 Waiver BIPRU Arbuthnot Latham & Co Limited /05/ /04/2015 Modification BIPRU BGC International /06/ /07/2009 Waiver BIPRU BGC International LP /06/ /11/2009 Waiver BIPRU BGC International LP /09/2009 Waiver BIPRU Cantor Index Limited /05/ /11/2013 Waiver BIPRU E*Trade Securities Limited /02/ /02/2011 Modification BIPRU Evolution Securities Limited /05/ /05/2013 Waiver BIPRU Insinger de Beaufort /01/ /01/2011 Modification BIPRU Insinger de Beaufort /10/ /01/2011 Modification BIPRU Insinger de Beaufort /10/ /10/2012 Modification BIPRU Morgan Stanley Private Wealth Management Limited /06/ /06/2015 Modification BIPRU R. Raphael & Sons Plc /06/ /06/2012 Modification BIPRU Solo Capital Limited /05/ /05/2012 Modification BIPRU TAM Asset Management Ltd /07/ /07/2011 Modification BIPRU Walbrook Capital Markets Limited /04/ /04/2013 Modification BIPRU Worldspreads Ltd /12/ /03/2014 Modification BIPRU HSBC Bank Plc /04/ /05/2014 Modification BIPRU HSBC Bank Plc /07/ /12/2015 Modification BIPRU KCG Europe Limited /11/ /11/2014 Modification BIPRU Nplus1 Singer Capital Markets Limited /03/ /03/2013 Modification BIPRU 7.1 CIBC World Markets Plc /01/ /12/2011 Modification BIPRU Barclays Bank Plc /12/ /06/2013 Modification BIPRU Barclays Capital Securities Limited /12/ /06/2013 Modification BIPRU Barclays Bank Plc /12/ /06/2013 Modification BIPRU Barclays Capital Securities Limited /12/ /06/2013 Modification 10 of 231
11 BIPRU Barclays Bank Plc /12/ /06/2013 Modification BIPRU Barclays Capital Securities Limited /12/ /06/2013 Modification BIPRU i BIFM Investments Limited /07/ /12/2011 Modification BIPRU i BIFM Investments Limited /12/ /12/2012 Modification BIPRU i BIFM Investments Limited /12/ /06/2014 Waiver BIPRU 7.10 Abbey National Treasury Services Plc /01/ /12/2011 Modification BIPRU 7.10 Abbey National Treasury Services Plc /01/ /12/2010 Modification BIPRU 7.10 Abbey National Treasury Services Plc /01/ /12/2011 Modification BIPRU 7.10 Abbey National Treasury Services Plc /12/ /06/2013 Modification BIPRU 7.10 Abbey National Treasury Services Plc /08/ /12/2013 Waiver BIPRU 7.10 Abbey National Treasury Services Plc /12/ /12/2014 Modification BIPRU 7.10 Abbey Stockbrokers Limited /01/ /12/2011 Modification BIPRU 7.10 Abbey Stockbrokers Limited /01/ /12/2010 Modification BIPRU 7.10 Abbey Stockbrokers Limited /01/ /12/2011 Modification BIPRU 7.10 Abbey Stockbrokers Limited /12/ /06/2013 Modification BIPRU 7.10 Aberdeen Asset Investments Limited /01/ /01/2007 Modification BIPRU 7.10 Aberdeen Asset Investments Limited /01/ /12/2009 Modification BIPRU 7.10 Aberdeen Asset Investments Limited /10/ /12/2009 Modification BIPRU 7.10 Aberdeen Asset Investments Limited /11/ /12/2010 Modification BIPRU 7.10 Aberdeen Asset Investments Limited /01/ /12/2010 Modification BIPRU 7.10 Aberdeen Investment Solutions Limited /01/ /01/2007 Modification BIPRU 7.10 Aberdeen Investment Solutions Limited /01/ /12/2009 Modification BIPRU 7.10 Aberdeen Investment Solutions Limited /10/ /12/2009 Modification BIPRU 7.10 Aberdeen Investment Solutions Limited /11/ /12/2010 Modification BIPRU 7.10 Aberdeen Investment Solutions Limited /01/ /12/2010 Modification BIPRU 7.10 Aberdeen Investment Solutions Limited /09/ /12/2011 Modification BIPRU 7.10 ABSA Bank Limited /01/ /12/2011 Modification BIPRU 7.10 ABSA Bank Limited /01/ /06/2010 Modification BIPRU 7.10 ABSA Bank Limited /07/ /06/2011 Modification 11 of 231
12 BIPRU 7.10 ABSA Bank Limited /07/ /12/2011 Modification BIPRU 7.10 ABSA Bank Limited /12/ /12/2012 Modification BIPRU 7.10 ABSA Bank Limited /12/ /06/2014 Waiver BIPRU 7.10 Adam & Company Investment Management Ltd /01/ /12/2011 Modification BIPRU 7.10 Adam & Company Investment Management Ltd /01/ /12/2011 Modification BIPRU 7.10 Adam & Company Investment Management Ltd /01/ /12/2010 Modification BIPRU 7.10 Adam & Company Investment Management Ltd /01/ /12/2011 Modification BIPRU 7.10 Adam & Company Investment Management Ltd /03/ /12/2011 Modification BIPRU 7.10 Adam & Company Investment Management Ltd /12/ /11/2014 Modification BIPRU 7.10 Adam & Company Investment Management Ltd /07/ /11/2014 Modification BIPRU 7.10 Adam & Company Plc /01/ /12/2011 Modification BIPRU 7.10 Adam & Company Plc /01/ /12/2011 Modification BIPRU 7.10 Adam & Company Plc /01/ /12/2010 Modification BIPRU 7.10 Adam & Company Plc /01/ /12/2011 Modification BIPRU 7.10 Adam & Company Plc /03/ /12/2011 Modification BIPRU 7.10 Adam & Company Plc /12/ /11/2014 Modification BIPRU 7.10 Adam & Company Plc /07/ /11/2014 Modification BIPRU 7.10 Alliance & Leicester Plc /01/ /12/2011 Modification BIPRU 7.10 Alliance & Leicester Plc /12/ /06/2013 Modification BIPRU 7.10 AMC Bank Ltd /01/ /01/2007 Modification BIPRU 7.10 AMC Bank Ltd /01/ /12/2009 Modification BIPRU 7.10 AMC Bank Ltd /10/ /12/2009 Modification BIPRU 7.10 AMC Bank Ltd /11/ /12/2010 Modification BIPRU 7.10 AMC Bank Ltd /01/ /12/2010 Waiver BIPRU 7.10 AMC Bank Ltd /09/ /12/2011 Modification BIPRU 7.10 Bank of Scotland plc /12/ /12/2012 Modification BIPRU 7.10 Bank of Scotland plc /12/ /12/2012 Waiver BIPRU 7.10 Bank of Scotland plc /12/ /06/2014 Modification BIPRU 7.10 Barclays Asset Management Limited /07/ /12/2011 Modification 12 of 231
13 BIPRU 7.10 Barclays Asset Management Limited /12/ /12/2012 Modification BIPRU 7.10 Barclays Asset Management Limited /12/ /06/2014 Waiver BIPRU 7.10 Barclays Bank Plc /01/ /12/2011 Modification BIPRU 7.10 Barclays Bank Plc /01/ /06/2010 Modification BIPRU 7.10 Barclays Bank Plc /07/ /06/2011 Modification BIPRU 7.10 Barclays Bank Plc /07/ /12/2011 Modification BIPRU 7.10 Barclays Bank Plc /12/ /12/2012 Modification BIPRU 7.10 Barclays Bank Plc /12/ /06/2014 Waiver BIPRU 7.10 Barclays Bank Trust Company Limited /01/ /12/2011 Modification BIPRU 7.10 Barclays Bank Trust Company Limited /01/ /06/2010 Modification BIPRU 7.10 Barclays Bank Trust Company Limited /07/ /06/2011 Modification BIPRU 7.10 Barclays Bank Trust Company Limited /07/ /12/2011 Modification BIPRU 7.10 Barclays Bank Trust Company Limited /12/ /12/2012 Modification BIPRU 7.10 Barclays Bank Trust Company Limited /12/ /06/2014 Waiver BIPRU 7.10 Barclays Capital Securities Limited /01/ /12/2011 Modification BIPRU 7.10 Barclays Capital Securities Limited /01/ /06/2010 Modification BIPRU 7.10 Barclays Capital Securities Limited /07/ /06/2011 Modification BIPRU 7.10 Barclays Capital Securities Limited /07/ /12/2011 Modification BIPRU 7.10 Barclays Capital Securities Limited /12/ /12/2012 Modification BIPRU 7.10 Barclays Capital Securities Limited /12/ /06/2014 Waiver BIPRU 7.10 Barclays Capital Strategic Advisers Limited /01/ /12/2011 Modification BIPRU 7.10 Barclays Capital Strategic Advisers Limited /01/ /06/2010 Modification BIPRU 7.10 Barclays Capital Strategic Advisers Limited /07/ /06/2011 Modification BIPRU 7.10 Barclays Capital Strategic Advisers Limited /07/ /12/2011 Modification BIPRU 7.10 Barclays Capital Strategic Advisers Limited /12/ /12/2012 Modification BIPRU 7.10 Barclays Capital Strategic Advisers Limited /12/ /06/2014 Waiver BIPRU 7.10 Barclays Financial Planning Limited /01/ /12/2011 Modification BIPRU 7.10 Barclays Financial Planning Limited /01/ /06/2010 Modification BIPRU 7.10 Barclays Financial Planning Limited /07/ /06/2011 Modification 13 of 231
14 BIPRU 7.10 Barclays Insurance Services Company Limited /01/ /12/2011 Modification BIPRU 7.10 Barclays Insurance Services Company Limited /01/ /06/2010 Modification BIPRU 7.10 Barclays Insurance Services Company Limited /07/ /06/2011 Modification BIPRU 7.10 Barclays Insurance Services Company Limited /07/ /12/2011 Modification BIPRU 7.10 Barclays Insurance Services Company Limited /12/ /12/2012 Modification BIPRU 7.10 Barclays Insurance Services Company Limited /12/ /06/2014 Waiver BIPRU 7.10 Barclays Mercantile Highland Finance /01/ /12/2011 Modification BIPRU 7.10 Barclays Mercantile Highland Finance /07/ /06/2011 Modification BIPRU 7.10 Barclays Private Bank Limited /01/ /12/2011 Modification BIPRU 7.10 Barclays Private Bank Limited /01/ /06/2010 Modification BIPRU 7.10 Barclays Private Clients International Limited /01/ /12/2011 Modification BIPRU 7.10 Barclays Private Clients International Limited /01/ /06/2010 Modification BIPRU 7.10 Barclays Private Clients International Limited /07/ /06/2011 Modification BIPRU 7.10 Barclays Private Clients International Limited /07/ /12/2011 Modification BIPRU 7.10 Barclays Private Clients International Limited /12/ /12/2012 Modification BIPRU 7.10 Barclays Private Clients International Limited /12/ /06/2014 Waiver BIPRU 7.10 Barclays Sharedealing /01/ /12/2011 Modification BIPRU 7.10 Barclays Sharedealing /01/ /06/2010 Modification BIPRU 7.10 Barclays Sharedealing /07/ /12/2011 Modification BIPRU 7.10 Barclays Sharedealing /12/ /12/2012 Modification BIPRU 7.10 Barclays Sharedealing /12/ /06/2014 Waiver BIPRU 7.10 Barclays Stockbrokers Limited /01/ /12/2011 Modification BIPRU 7.10 Barclays Stockbrokers Limited /01/ /06/2010 Modification BIPRU 7.10 Barclays Stockbrokers Limited /07/ /06/2011 Modification BIPRU 7.10 Barclays Stockbrokers Limited /07/ /12/2011 Modification BIPRU 7.10 Barclays Stockbrokers Limited /12/ /12/2012 Modification BIPRU 7.10 Barclays Stockbrokers Limited /12/ /06/2014 Waiver BIPRU 7.10 BL Telford Limited /01/ /12/2011 Modification BIPRU 7.10 BL Telford Limited /01/ /06/2010 Modification 14 of 231
15 BIPRU 7.10 BL Telford Limited /07/ /06/2011 Modification BIPRU 7.10 BlackRock Advisors (UK) Limited /01/ /12/2011 Modification BIPRU 7.10 BlackRock Advisors (UK) Limited /01/ /06/2010 Modification BIPRU 7.10 BlackRock Advisors (UK) Limited /07/ /06/2011 Modification BIPRU 7.10 BlackRock Life Limited /01/ /12/2011 Modification BIPRU 7.10 BlackRock Life Limited /01/ /06/2010 Modification BIPRU 7.10 BlackRock Life Limited /07/ /06/2011 Modification BIPRU 7.10 British Arab Commercial Bank Plc /01/ /12/2011 Modification BIPRU 7.10 British Arab Commercial Bank Plc /10/ /12/2011 Modification BIPRU 7.10 British Arab Commercial Bank Plc /12/ /12/2011 Modification BIPRU 7.10 British Arab Commercial Bank Plc /12/ /12/2011 Modification BIPRU 7.10 British Arab Commercial Bank Plc /02/ /12/2011 Modification BIPRU 7.10 British Arab Commercial Bank Plc /10/ /12/2011 Modification BIPRU 7.10 British Arab Commercial Bank Plc /12/ /12/2010 Modification BIPRU 7.10 British Arab Commercial Bank Plc /06/ /12/2010 Modification BIPRU 7.10 British Arab Commercial Bank Plc /01/ /12/2011 Modification BIPRU 7.10 Capel Cure Sharp Limited /01/ /12/2011 Modification BIPRU 7.10 Capel Cure Sharp Limited /07/ /06/2011 Modification BIPRU 7.10 Cater Allen International Limited /01/ /12/2011 Modification BIPRU 7.10 Cater Allen International Limited /01/ /12/2010 Modification BIPRU 7.10 Cater Allen International Limited /01/ /12/2011 Modification BIPRU 7.10 Cater Allen Limited /01/ /12/2011 Modification BIPRU 7.10 Cater Allen Limited /01/ /12/2010 Modification BIPRU 7.10 Cater Allen Limited /01/ /12/2011 Modification BIPRU 7.10 Cater Allen Limited /12/ /06/2013 Modification BIPRU 7.10 Cheltenham & Gloucester Plc /01/ /01/2007 Modification BIPRU 7.10 Cheltenham & Gloucester Plc /01/ /12/2009 Modification BIPRU 7.10 Cheltenham & Gloucester Plc /10/ /12/2009 Modification BIPRU 7.10 Cheltenham & Gloucester Plc /11/ /12/2010 Modification 15 of 231
16 BIPRU 7.10 Cheltenham & Gloucester Plc /01/ /12/2010 Waiver BIPRU 7.10 CIBC World Markets Plc /01/ /12/2010 Modification BIPRU 7.10 CIBC World Markets Plc /01/ /12/2011 Modification BIPRU 7.10 CIBC World Markets Plc /12/ /06/2014 Modification BIPRU 7.10 Citigroup Global Markets Limited /01/ /11/2011 Modification BIPRU 7.10 Citigroup Global Markets Limited /01/ /12/2010 Modification BIPRU 7.10 Citigroup Global Markets Limited /10/ /12/2011 Modification BIPRU 7.10 Citigroup Global Markets Limited /12/ /12/2012 Modification BIPRU 7.10 Citigroup Global Markets Limited /01/ /01/2014 Modification BIPRU 7.10 Citigroup Global Markets U.K. Equity Limited /01/ /11/2011 Modification BIPRU 7.10 Citigroup Global Markets U.K. Equity Limited /01/ /12/2010 Modification BIPRU 7.10 Citigroup Global Markets U.K. Equity Limited /10/ /12/2011 Modification BIPRU 7.10 Citigroup Global Markets U.K. Equity Limited /12/ /12/2012 Modification BIPRU 7.10 Clerical Medical Financial Services Limited /12/ /12/2007 Modification BIPRU 7.10 Clydesdale Financial Services Limited /01/ /12/2011 Modification BIPRU 7.10 Clydesdale Financial Services Limited /07/ /06/2011 Modification BIPRU 7.10 Clydesdale Financial Services Limited /07/ /12/2011 Modification BIPRU 7.10 Clydesdale Financial Services Limited /12/ /12/2012 Modification BIPRU 7.10 Clydesdale Financial Services Limited /12/ /06/2014 Waiver BIPRU 7.10 Coutts & Co Investment Management Limited /01/ /12/2011 Modification BIPRU 7.10 Coutts & Company /01/ /12/2011 Modification BIPRU 7.10 Coutts & Company /01/ /12/2011 Modification BIPRU 7.10 Coutts & Company /01/ /12/2010 Modification BIPRU 7.10 Coutts & Company /01/ /12/2011 Modification BIPRU 7.10 Coutts & Company /03/ /12/2011 Modification BIPRU 7.10 Coutts & Company /12/ /11/2014 Modification BIPRU 7.10 Coutts & Company /07/ /11/2014 Modification BIPRU 7.10 Credit Suisse International /01/ /06/2010 Modification BIPRU 7.10 Credit Suisse International /01/ /06/2010 Modification 16 of 231
17 BIPRU 7.10 Credit Suisse International /01/ /12/2010 Modification BIPRU 7.10 Credit Suisse International /01/ /12/2010 Modification BIPRU 7.10 Credit Suisse International /01/ /12/2011 Modification BIPRU 7.10 Credit Suisse International /01/ /12/2011 Modification BIPRU 7.10 Credit Suisse International /12/ /09/2012 Modification BIPRU 7.10 Credit Suisse International /12/ /09/2012 Modification BIPRU 7.10 Credit Suisse International /10/ /12/2013 Modification BIPRU 7.10 Credit Suisse International /10/ /12/2013 Modification BIPRU 7.10 Credit Suisse International /12/ /09/2014 Modification BIPRU 7.10 Credit Suisse Investments (UK) /01/ /12/2010 Modification BIPRU 7.10 Credit Suisse Investments (UK) /01/ /12/2010 Modification BIPRU 7.10 Credit Suisse Investments (UK) /01/ /12/2011 Modification BIPRU 7.10 Credit Suisse Investments (UK) /01/ /12/2011 Modification BIPRU 7.10 Credit Suisse Investments (UK) /12/ /09/2012 Modification BIPRU 7.10 Credit Suisse Investments (UK) /12/ /09/2012 Modification BIPRU 7.10 Credit Suisse Investments (UK) /10/ /12/2013 Modification BIPRU 7.10 Credit Suisse Investments (UK) /10/ /12/2013 Modification BIPRU 7.10 Credit Suisse Securities (Europe) Ltd /01/ /06/2010 Modification BIPRU 7.10 Credit Suisse Securities (Europe) Ltd /01/ /06/2010 Modification BIPRU 7.10 Credit Suisse Securities (Europe) Ltd /12/ /12/2010 Modification BIPRU 7.10 Credit Suisse Securities (Europe) Ltd /01/ /12/2010 Modification BIPRU 7.10 Credit Suisse Securities (Europe) Ltd /01/ /12/2011 Modification BIPRU 7.10 Credit Suisse Securities (Europe) Ltd /01/ /12/2011 Modification BIPRU 7.10 Credit Suisse Securities (Europe) Ltd /12/ /09/2012 Modification BIPRU 7.10 Credit Suisse Securities (Europe) Ltd /12/ /09/2012 Modification BIPRU 7.10 Credit Suisse Securities (Europe) Ltd /10/ /12/2013 Modification BIPRU 7.10 Credit Suisse Securities (Europe) Ltd /10/ /12/2013 Modification BIPRU 7.10 Credit Suisse Securities (Europe) Ltd /12/ /09/2014 Modification BIPRU 7.10 Dartmouth Capital Partners LLP /03/ /02/2010 Modification 17 of 231
18 BIPRU 7.10 EES Capital Trustees Limited /12/ /12/2012 Modification BIPRU 7.10 Equistone Partners Europe Limited /01/ /12/2011 Modification BIPRU 7.10 Equistone Partners Europe Limited /01/ /06/2010 Modification BIPRU 7.10 Equistone Partners Europe Limited /07/ /06/2011 Modification BIPRU 7.10 Equistone Partners Europe Limited /07/ /12/2011 Modification BIPRU 7.10 Firstplus Financial Group Plc /01/ /12/2011 Modification BIPRU 7.10 Firstplus Financial Group Plc /01/ /06/2010 Modification BIPRU 7.10 Firstplus Financial Group Plc /07/ /06/2011 Modification BIPRU 7.10 Firstplus Financial Group Plc /07/ /12/2011 Modification BIPRU 7.10 Firstplus Financial Group Plc /12/ /12/2012 Modification BIPRU 7.10 Firstplus Financial Group Plc /12/ /06/2014 Waiver BIPRU 7.10 Gerrard Financial Planning Ltd /01/ /12/2011 Modification BIPRU 7.10 Gerrard Financial Planning Ltd /01/ /06/2010 Modification BIPRU 7.10 Gerrard Financial Planning Ltd /07/ /06/2011 Modification BIPRU 7.10 Gerrard Financial Planning Ltd /07/ /12/2011 Modification BIPRU 7.10 Gerrard Financial Planning Ltd /12/ /12/2012 Modification BIPRU 7.10 Gerrard Financial Planning Ltd /12/ /06/2014 Waiver BIPRU 7.10 Gerrard Investment Management Limited /01/ /12/2011 Modification BIPRU 7.10 Gerrard Investment Management Limited /01/ /06/2010 Modification BIPRU 7.10 Gerrard Investment Management Limited /07/ /06/2011 Modification BIPRU 7.10 Gerrard Investment Management Limited /07/ /12/2011 Modification BIPRU 7.10 Gerrard Investment Management Limited /12/ /12/2012 Modification BIPRU 7.10 Gerrard Investment Management Limited /12/ /06/2014 Waiver BIPRU 7.10 Goldman Sachs Asset Management International /01/ /12/2011 Modification BIPRU 7.10 Goldman Sachs Asset Management International /01/ /12/2011 Waiver BIPRU 7.10 Goldman Sachs Asset Management International /12/ /12/2011 Modification BIPRU 7.10 Goldman Sachs Asset Management International /01/ /12/2010 Modification BIPRU 7.10 Goldman Sachs Asset Management International /01/ /12/2011 Modification BIPRU 7.10 Goldman Sachs Asset Management International /12/ /09/2014 Modification 18 of 231
19 BIPRU 7.10 Goldman Sachs Bank (Europe) Plc /01/ /12/2010 Modification BIPRU 7.10 Goldman Sachs International /01/ /12/2011 Modification BIPRU 7.10 Goldman Sachs International /01/ /12/2011 Waiver BIPRU 7.10 Goldman Sachs International /12/ /12/2011 Modification BIPRU 7.10 Goldman Sachs International /01/ /12/2010 Modification BIPRU 7.10 Goldman Sachs International /01/ /12/2011 Modification BIPRU 7.10 Goldman Sachs International /12/ /09/2014 Modification BIPRU 7.10 Goldman Sachs International Bank /01/ /12/2011 Modification BIPRU 7.10 Goldman Sachs International Bank /01/ /12/2011 Waiver BIPRU 7.10 Goldman Sachs International Bank /12/ /12/2011 Modification BIPRU 7.10 Goldman Sachs International Bank /01/ /12/2010 Modification BIPRU 7.10 Goldman Sachs International Bank /01/ /12/2011 Modification BIPRU 7.10 Goldman Sachs International Bank /12/ /09/2014 Modification BIPRU 7.10 Halbis Capital Management (UK) Limited /01/ /12/2011 Modification BIPRU 7.10 Halbis Capital Management (UK) Limited /10/ /12/2011 Modification BIPRU 7.10 Halbis Capital Management (UK) Limited /12/ /12/2011 Modification BIPRU 7.10 Halbis Capital Management (UK) Limited /12/ /12/2011 Modification BIPRU 7.10 Halbis Capital Management (UK) Limited /02/ /12/2011 Modification BIPRU 7.10 Halbis Capital Management (UK) Limited /10/ /12/2011 Modification BIPRU 7.10 Halbis Capital Management (UK) Limited /12/ /12/2010 Modification BIPRU 7.10 Halbis Capital Management (UK) Limited /06/ /12/2010 Modification BIPRU 7.10 Halbis Capital Management (UK) Limited /01/ /12/2011 Modification BIPRU 7.10 Halifax Investment Services Ltd /12/ /12/2012 Modification BIPRU 7.10 Halifax Share Dealing Limited /12/ /12/2012 Modification BIPRU 7.10 HBOS Investment Fund Managers Limited /12/ /12/2012 Modification BIPRU 7.10 HFC Bank Limited /01/ /12/2011 Modification BIPRU 7.10 HFC Bank Limited /10/ /12/2011 Modification BIPRU 7.10 HFC Bank Limited /12/ /12/2011 Modification BIPRU 7.10 HFC Bank Limited /12/ /12/2011 Modification 19 of 231
20 BIPRU 7.10 HFC Bank Limited /02/ /12/2011 Modification BIPRU 7.10 HFC Bank Limited /10/ /12/2011 Modification BIPRU 7.10 HFC Bank Limited /12/ /12/2010 Modification BIPRU 7.10 HFC Bank Limited /06/ /12/2010 Modification BIPRU 7.10 HFC Bank Limited /01/ /12/2011 Modification BIPRU 7.10 HFC Bank Limited /12/ /03/2014 Modification BIPRU 7.10 HSBC Alternative Investments Limited /01/ /12/2011 Modification BIPRU 7.10 HSBC Alternative Investments Limited /10/ /12/2011 Modification BIPRU 7.10 HSBC Alternative Investments Limited /12/ /12/2011 Modification BIPRU 7.10 HSBC Alternative Investments Limited /12/ /12/2011 Modification BIPRU 7.10 HSBC Alternative Investments Limited /02/ /12/2011 Modification BIPRU 7.10 HSBC Alternative Investments Limited /10/ /12/2011 Modification BIPRU 7.10 HSBC Alternative Investments Limited /12/ /12/2010 Modification BIPRU 7.10 HSBC Alternative Investments Limited /06/ /12/2010 Modification BIPRU 7.10 HSBC Alternative Investments Limited /01/ /12/2011 Modification BIPRU 7.10 HSBC Alternative Investments Limited /12/ /03/2014 Modification BIPRU 7.10 HSBC Bank Plc /01/ /12/2011 Modification BIPRU 7.10 HSBC Bank Plc /10/ /12/2011 Modification BIPRU 7.10 HSBC Bank Plc /12/ /12/2011 Modification BIPRU 7.10 HSBC Bank Plc /12/ /12/2011 Modification BIPRU 7.10 HSBC Bank Plc /02/ /12/2011 Modification BIPRU 7.10 HSBC Bank Plc /10/ /12/2009 Modification BIPRU 7.10 HSBC Bank Plc /12/ /12/2010 Modification BIPRU 7.10 HSBC Bank Plc /06/ /12/2010 Modification BIPRU 7.10 HSBC Bank Plc /01/ /12/2011 Modification BIPRU 7.10 HSBC Bank Plc /12/ /03/2014 Modification BIPRU 7.10 HSBC Bank USA NA London Branch /01/ /12/2011 Modification BIPRU 7.10 HSBC Bank USA NA London Branch /10/ /12/2011 Modification BIPRU 7.10 HSBC Bank USA NA London Branch /12/ /12/2011 Modification 20 of 231
21 BIPRU 7.10 HSBC Bank USA NA London Branch /12/ /12/2011 Modification BIPRU 7.10 HSBC Bank USA NA London Branch /02/ /12/2011 Modification BIPRU 7.10 HSBC Bank USA NA London Branch /10/ /12/2011 Modification BIPRU 7.10 HSBC Bank USA NA London Branch /12/ /12/2010 Modification BIPRU 7.10 HSBC Bank USA NA London Branch /06/ /12/2010 Modification BIPRU 7.10 HSBC Bank USA NA London Branch /01/ /12/2011 Modification BIPRU 7.10 HSBC Global Asset Management (UK) Limited /01/ /12/2011 Modification BIPRU 7.10 HSBC Global Asset Management (UK) Limited /10/ /12/2011 Modification BIPRU 7.10 HSBC Global Asset Management (UK) Limited /12/ /12/2011 Modification BIPRU 7.10 HSBC Global Asset Management (UK) Limited /12/ /12/2011 Modification BIPRU 7.10 HSBC Global Asset Management (UK) Limited /02/ /12/2011 Modification BIPRU 7.10 HSBC Global Asset Management (UK) Limited /10/ /12/2011 Modification BIPRU 7.10 HSBC Global Asset Management (UK) Limited /12/ /12/2010 Modification BIPRU 7.10 HSBC Global Asset Management (UK) Limited /06/ /12/2010 Modification BIPRU 7.10 HSBC Global Asset Management (UK) Limited /01/ /12/2011 Modification BIPRU 7.10 HSBC Global Asset Management (UK) Limited /12/ /03/2014 Modification BIPRU 7.10 HSBC International Financial Advisers (UK) Limited /01/ /12/2011 Modification BIPRU 7.10 HSBC International Financial Advisers (UK) Limited /10/ /12/2011 Modification BIPRU 7.10 HSBC International Financial Advisers (UK) Limited /12/ /12/2011 Modification BIPRU 7.10 HSBC International Financial Advisers (UK) Limited /12/ /12/2011 Modification BIPRU 7.10 HSBC International Financial Advisers (UK) Limited /02/ /12/2011 Modification BIPRU 7.10 HSBC International Financial Advisers (UK) Limited /10/ /12/2011 Modification BIPRU 7.10 HSBC International Financial Advisers (UK) Limited /12/ /12/2010 Modification BIPRU 7.10 HSBC International Financial Advisers (UK) Limited /06/ /12/2010 Modification BIPRU 7.10 HSBC International Financial Advisers (UK) Limited /01/ /12/2011 Modification BIPRU 7.10 HSBC International Financial Advisers (UK) Limited /12/ /03/2014 Modification BIPRU 7.10 HSBC Investment Funds (UK) Limited /01/ /12/2011 Modification BIPRU 7.10 HSBC Investment Funds (UK) Limited /10/ /12/2011 Modification BIPRU 7.10 HSBC Investment Funds (UK) Limited /12/ /12/2011 Modification 21 of 231
Client Assets (Waivers)
The FCA Register is at http://www.fsa.gov.uk/register/home.do CASS 1.0 Bridgepoint Advisers II Limited 498893 20/03/2015 20/03/2016 Modification CASS 1.0 Bridgepoint Advisers Limited 181601 20/03/2015
complaints data - showing individual financial businesses new cases received by the Financial Ombudsman Service from 1 Jan to 30 June 2013
complaints data - showing individual financial businesses new cases received by the Financial Ombudsman Service from 1 Jan to 30 June 2013 number of new cases - by complaint category business name business
complaints data - showing individual financial businesses new cases received by the Financial Ombudsman Service from 1 January to 30 June 2011
complaints data - showing individual financial businesses new cases received by the Financial Ombudsman Service from 1 January to 30 June 2011 number of new cases - by complaint category business name
Becoming an Associate Member of the British Bankers Association
Becoming an Associate Member of the British Bankers Association British Bankers Association Pinners Hall, 105-108 Old Broad Street London, EC2N 1EX The British Bankers Association An Introduction The BBA
Common Links in Title
Common Links in Title Common Links in Title (updated Sep. 2013) ABBEY NATIONAL BUILDING SOCIETY 12 Jul. 1989 - Assets transferred to ABBEY NATIONAL PLC. ABBEY NATIONAL PLC 12 Jul. 1989 - Assets of ABBEY
Mortgage lenders and financial references Guidance as at 9/11/2015
Mortgage lenders and financial references Guidance as at 9/11/2015 Lenders which will accept financial references from CIOT and ATT members New HMRC agreement with the Council of Mortgage Lenders re SA302s
Credit Suisse Asset Management Limited UK Order Execution Policy December 2013
Credit Suisse Asset Management Limited UK Order Execution Policy December 2013 Table of Contents 1. General information about this Policy 1 2. CSAML s Core Best Execution Obligations 2 3. Placing Orders
Meteor Asset Management
Meteor Asset Management Counterparty Credit Default Swap Rates 27 th January 2012 This information is for professional investors only and should not be presented to, or relied upon by, private investors.
UK Bridging Loans 2006
A Datamonitor Report timely UK Bridging Loans 2006 Publication Date: Nov-06 Product Code: Reacting to the latest news breaking in your industry focused primary research Bridging loans are short-term secured
UK General Insurance Competitor Tracker - Q2 2007 (Competitor Focus)
A Datamonitor Brief timely UK General Insurance Competitor Tracker - Q2 2007 (Competitor Focus) Reacting to the latest news breaking in your industry focused Publication Date: Jul-07 Product Code: primary
UK Critical Illness and Income Protection Insurance 2008
A Datamonitor report UK Critical Illness and Income Protection Insurance 2008 An In-Depth Analysis of the CII and IP Markets Published: Nov-08 Product Code: DMFS2252 Providing you with: Recommendations
UK Motorcycle Insurance
A Datamonitor Brief timely UK Motorcycle Insurance Publication Date: Nov-04 Product Code: Reacting to the latest news breaking in your industry focused primary research This report is a consolidated source
Enterprise Finance Guarantee. Application Process and List of Lenders NOVEMBER 2014
Enterprise Finance Guarantee Application Process and List of Lenders NOVEMBER 2014 How does a Business apply for an EFG-backed facility? First and foremost a business applies to a lender for a loan or
Valuations for Lenders Our Specialist Area of Business. William Newsom Head of Valuation, Savills Commercial Limited
Valuations for Lenders Our Specialist Area of Business William Newsom Head of Valuation, Savills Commercial Limited Presentation Contents Savills Corporate Profile Commercial Valuation Department Areas
Listado de empresas vinculadas directa o indirectamente con las ilegítimas actividades de exploración y explotación petrolera en el Atlántico Sur
Listado de empresas vinculadas directa o indirectamente con las ilegítimas actividades de exploración y explotación petrolera en el Atlántico Sur Rockhopper Exploration Banco: The Royal Bank of Scotland
About BLP. Call us on 020 7204 2424 Fax us on 020 7929 1366 Email info@blpinsurance.com Visit www. blpinsurance.com. 1 of 2
About BLP BLP is an authorised insurance intermediary based in the City of London and acts as an underwriting agent of Allianz Global Corporate & Specialty AG, UK Branch, to provide New Home Warranties
PN 16 Bank Reports for Audit Purposes UK mainland credit institution contact details
PN 16 Bank Reports for Audit Purposes UK mainland credit institution contact details The following table provides contact details for use in respect of bank reports for audit purposes. It includes banks
Employment Report 2014
Employment Report 2014 2013/14 Class Profile The Department of Finance is home to 250 Masters students across five degree programmes: MSc Finance (Full-time), MSc Finance and Economics, MSc Finance and
GlaxoSmithKline plc (incorporated in England and Wales with limited liability under registered number 3888792)
REGISTRATION DOCUMENT (incorporated in England and Wales with limited liability under registered number 3888792) GlaxoSmithKline Capital Inc. (incorporated in the State of Delaware with limited liability
Targeting NRIs in Wealth Management
A Datamonitor report Targeting NRIs in Wealth Management A ready-made global wealth management customer segment Published: Apr-06 Product Code: Providing you with: Analysis on the growing trend among financial
Mutual Fund Distribution in Europe 2006
A Datamonitor report Mutual Fund Distribution in Europe 2006 Published: May-06 Product Code: Scope: Sizes the distribution channels of mutual funds in five major European markets using FERI FMI data Draws
COOPERATION GUIDANCE BETWEEN RECOGNISED BODIES AND INSOLVENCY PRACTITIONERS TO ASSIST MANAGEMENT OF MEMBER DEFAULTS BY RECOGNISED BODIES
Financial Services Authority COOPERATION GUIDANCE BETWEEN RECOGNISED BODIES AND INSOLVENCY PRACTITIONERS TO ASSIST MANAGEMENT OF MEMBER DEFAULTS BY RECOGNISED BODIES (Recognised Clearing House Version)
Lost track of your account?
Lost track of your account? Help is at hand. mylostaccount.org.uk is a free online service that helps you trace lost bank accounts. This leaflet tells you all about mylostaccount.org.uk. If you don t have
Local Housing Allowance. How will I be paid?
Local Housing Allowance How will I be paid? How will I be paid my Local Housing Allowance? Local Housing Allowance will usually be paid directly to you, not your landlord. You will get paid either straight
Important Information About Our Services
WELCOME TO: SQUARE FINANCIAL LTD Important Information About Our Services Telephone: 0345 2600567 Email: info@squarefinancial.co.uk Website: www.squarefinancial.co.uk Address: 12 Heather Rise, Burley in
The Role of Banks and Building Societies in UK General Insurance
A Datamonitor report The Role of Banks and Building Societies in UK General Insurance Current and Future Trends Published: Dec-04 Product Code: Providing you with: Current and future market shares of the
Prudential sourcebook for Insurers (Waivers)
The FCA Register is at http://www.fsa.gov.uk/register/home.do INSPRU 1.1.2 UNUM Life Insurance Company of America 202914 01/05/2012 30/04/2017 Modification INSPRU 1.1.2 Unum Ltd 110408 13/04/2011 12/04/2013
Product Differentiation in Asia Pacific Credit Cards
A Datamonitor Brief timely Product Differentiation in Asia Pacific Credit Cards Publication Date: Sep-04 Product Code: Reacting to the latest news breaking in your industry focused primary research In
The table below shows Capita Asset Services forecast of the expected movement in medium term interest rates:
Annex A Forecast of interest rates as at September 2015 The table below shows Capita Asset Services forecast of the expected movement in medium term interest rates: NOW Sep-15 Dec-15 Mar-16 Jun-16 Sep-16
Marketing Financial Services to the Over 50s
A Datamonitor report Marketing Financial Services to the Over 50s Published: Dec-04 Product Code: Providing you with: Use this report to Better plan your business strategies with the help of in-depth analysis
A review of Basic Bank Account features, 2003 2008
A review of Basic Bank Account features, 2003 A Toynbee Hall report By Zenobia Talati and Colin Kinloch July Overview This report examines whether Basic Bank Account (BBA) services and features have changed
BULLETIN LIST OF CHESS PARTICIPANTS
CHESS Bulletin Date: 15 April 2003 Key topics 1. List of active Participants 2. List of Clearing arrangements REGISTRY BULLETIN LIST OF CHESS PARTICIPANTS This Bulletin provides the following information
Trends in High Interest Savings Accounts in Australia
A Datamonitor report Trends in High Interest Savings Accounts in Australia A Product Type Undergoing Transformation Published: May-08 Product Code: DMFS2248 Providing you with: A comprehensive overview
Asset Management Competitor Tracker, Q3 2009
Brochure More information from http://www.researchandmarkets.com/reports/1124705/ Asset Management Competitor Tracker, Q3 2009 Description: This monthly tracker covers product innovation, customer targeting,
Structured products exchanges generate turnover of EUR 3.3 billion in August
Stock Exchange Turnover in Derivatives Structured products exchanges generate turnover of EUR 3.3 billion in August Decline in investment products / growth in leverage products The trading volume of investment
Reuters/Edgar Su GLOBAL INVESTMENT BANKING REVIEW
Reuters/Edgar Su FULL YEAR 2014 Global IB Fees Up 7%; Strongest Full Year for IB Fees since 2007 Healthcare Fees Rise 48% l JP Morgan Takes Top Spot Global Investment Banking Fees Total US$90.1 billion;
The Acquisition of BrokerTec
BROKERTEC ACQUISITION 16 JANUARY 2002 The Acquisition of BrokerTec FINANCIAL HIGHLIGHTS (6 months to 30 Sep 02) Profit* Turnover Adjusted earnings per share Cash inflow from operating activities Interim
Reuters/Danish Ismail GLOBAL INVESTMENT BANKING REVIEW
Reuters/Danish Ismail FULL YEAR 2013 Global IB Fees Up 7%; Strongest Year for IB Fees since 2007 JP Morgan Takes Top Spot Fees from ECM Up 29%; M&A Fees Down 12% Global Investment Banking Fees Total US$82.6
ISDA International Swaps and Derivatives Association, Inc.
STANDARD SETTLEMENT INSTRUCTIONS REPOSITORY Best Practice Requirements August 2010 Table of Contents 1 REVISION HISTORY... 2 2 PROBLEM STATEMENT... 3 3 DOCUMENT PURPOSE... 3 4 SCOPE... 3 5 STANDARD SETTLEMENT
Japan Investment Working Group ISITC Japan General Meeting June 1 st, 2001. GSTPA Japan
Japan Investment Working Group ISITC Japan General Meeting June 1 st, 2001 GSTPA Japan This document is an informal English translation for clients of Bank of Tokyo-Mitsubishi, of a presentation we made
Competitor Profiles of the Top UK Commercial Insurers
A Datamonitor report Competitor Profiles of the Top UK Commercial Insurers Published: Jul-05 Product Code: Providing you with: Key statistical data on each of the players profiled including GEP, market
Crediting and debiting building society accounts. Service user s guide
Crediting and debiting building society s Service user s guide About this guide This guide helps Bacs service users address Direct Credit and Direct Debit payments to building society s with nonstandard
Equity lending survey 2010
Equity lending survey 2010 r e p r i n t e d f r o m G I / I S F S e p t e m b e r 2 0 1 0 Euromoney Institutional Investor PLC, London 2010 Credit Suisse and State Street are crowned top Borrower and
Sunrise Brokers voted overall number one equity products broker of the year by Risk for the sixth consecutive year REPRINTED FROM
REPRINTED FROM RISK MANAGEMENT l DERIVATIVES l REGULATION Sunrise Brokers voted overall number one equity products broker of the year by Risk for the sixth consecutive year www.sunrisebrokers.com SEPTEMBER
Equity Derivatives and Structured Retail: Success Through Innovation. November 2010
Equity Derivatives and Structured Retail: Success Through Innovation November 2010 Agenda The Royal Bank of Scotland Structured Product Trends Integrated Approach Product Segments Client Engagement Online
FY 2015-16. 25-Feb-2016 Fidelity Management & Research Ltd, USA 25-Feb-2016 EastSprings 29-Feb-2016 Artisan Partners
Date Scheduled for next week Type 12-Feb-2016 Change Global Investment 12-Feb-2016 UBS Investor group - US 15-Feb-2016 - Palestra Capital - Kevin Feng 16-Feb-2016 Edelweiss AGF Asset Management Asia Ltd
Operational risk capital: Nowhere to hide
Regulatory November 2014 brief A publication of PwC s financial services regulatory practice Operational risk capital: Nowhere to hide Overview The Basel Committee on Banking Supervision (BCBS) last month
BROWN BROTHERS HARRIMAN (LUXEMBOURG) S.C.A. Wells Fargo (Lux) Worldwide Fund
Argen na CITIBANK, N.A. BUENOS AIRES BRANCH Australia Austria HSBC BANK AUSTRALIA LIMITED FOR THE HONGKONG AND SHANGHAI DEUTSCHE BANK AG, VIENNA BRANCH Belgium DEUTSCHE BANK AG, AMSTERDAM BRANCH Brazil
HEALTHCARE HEALTHCARE UK & IRELAND. Accelerating success.
HEALTHCARE HEALTHCARE UK & IRELAND Accelerating success. 2 HEALTHCARE UK & IRELAND UK & IRELAND HEALTHCARE 3 ABOUT US With one of the UK s largest teams dedicated to this sector, Colliers International
External manager, custodian and platform agreement list
External manager, custodian and platform list This document is for financial adviser use only. It should not be distributed to, or relied upon by, retail clients. AXA Wealth International is the brand
Bank of America Senior Vice President, Digital Marketing Senior Vice President, Electronic Communications & Social Media Compliance Vice President
ABN AMRO Chief Compliance Officer Actiance, Inc. General Manager, Social Business AICPA CPA Insider Allen & Overy Partner AllianceBernstein Senior AllianceBernstein Cash Management Services Assistant &
contents Master of Science in Wealth Management WMI Certificate in Private Banking WMI Advanced Wealth Management Programme Trust Programmes
contents The Wealth Management Institute WMI PROGRAMMES Master of Science in Wealth Management WMI Certificate in Private Banking WMI Advanced Wealth Management Programme Trust Programmes UNIQUE FEATURES
Tenaday MBA Information Centre (www.tenaday.co.in)
GSB Campuses The Chicago GSB has the finest set of facilities of any business school in the world. Each of our four campuses reflects the architectural traditions of its environs while offering a state-of-the-art
Toronto Stock Exchange and TSX Venture Exchange A Capital Opportunity
Toronto Stock Exchange and TSX Venture Exchange A Capital Opportunity Disclaimer This document is for information purposes only and is not an invitation to purchase securities listed on Toronto Stock Exchange
The list of licensed financial institutions
City Banks and Trust Banks Total 35 banks Business category The name of a financial City Banks Mizuho Bank,Ltd. Sumitomo Mitsui Banking Total 4 banks Corporation The Bank of Tokyo- Mitsubishi UFJ,Ltd.
12-01021-smb Doc 38 Filed 08/28/14 Entered 08/28/14 14:25:58 Main Document Pg 1 of 3
12-01021-smb Doc 38 Filed 08/28/14 Entered 08/28/14 14:25:58 Main Document Pg 1 of 3 Baker & Hostetler LLP 45 Rockefeller Plaza New York, New York 10111 Telephone: (212) 589-4200 Facsimile: (212) 589-4201
UK Employers Liability Insurance 2007
A Datamonitor report UK Employers Liability Insurance 2007 A comprehensive guide to the market Published: Apr-07 Product Code: Providing you with: Analyzis of the competitive issues and prevailing trends
European Overview Deal Volume and Value. European IPO transactions Q1 2014
1 IPO Transactions Q1 2014 European Overview Deal Volume and Value European IPO transactions Q1 2014 www.experian.co.uk/marketiq 1 Introduction Experian is pleased to present you with its IPO Corporate
FACTORS & DISCOUNTERS ASSOCIATION QUARTERLY STATISTICS TO JUNE 2003
FACTORS & DISCOUNTERS ASSOCIATION QUARTERLY STATISTICS TO JUNE 2003 CONTENTS Page List of contributors 1 Executive summary aggregate figures 2 Aggregate figures for members in the Republic of Ireland 3
Department of Finance. First Major Selection BSc in Quantitative Finance 2015/2016
Department of Finance First Major Selection BSc in Quantitative Finance 2015/2016 1 Department of Finance UG Team Department Head: Prof. Vidhan Goyal UG Committee: Prof. Alminas Zaldokas (Chair) Prof.
UK Secured Personal Loans 2006
A Datamonitor report UK Secured Personal Loans 2006 Published: Sep-06 Product Code: DMFS1890 Providing you with: Quantification of the size of the UK secured personal loan market (second charge market)
Annual Report 31 August 2015. SSGA Funds Money Market Funds SSGA Money Market Fund SSGA U.S. Government Money Market Fund
Annual Report 31 August 2015 SSGA Funds Money Market Funds SSGA Money Market Fund SSGA U.S. Government Money Market Fund SSGA Funds Money Market Funds Annual Report August 31, 2015 Table of Contents Page
Market Shares by Stock Exchange Turnover
Market Shares by Stock Exchange Turnover in structured Securities Change at the top Deutsche Bank pushes down Commerzbank from its leading position with capital protection (100 %) Capital Protection Products
Relationship Team Manager Dealogic United Kingdom WWU Treasurer Wales and West United Kingdom Investment Manager NW Brown United Kingdom
Job Title Company Country Analyst Kokusai Asset Management MD, PM Allianz (Pimco Europe Ltd / London) Portfolio Manager NOW: Pensions Investment Denmark Managing Director The Colville Estate Head of Finance
How To Sell Yellow Corn Grade Human Harvest
DECEMBER th 2014. (This document loses its validity on DECEMBER, 2014). COMMODITY YELLOW CORN GRADE # 2 SPECIFICATIONS: YELLOW CORN GRADE 2 HUMAN FEED TEST: weight min 70 kgs per hl FOREIGN MATTER: 3,00%
Industry insight Banking, investment and insurance
Industry insight Banking, investment and insurance In a nutshell The UK s banking, investment and insurance industry includes employers such as investment banks, commercial banks and building societies,
International students
International students Opening a UK bank account Welcome This leaflet is for international students. It tells you all you need to know about opening a bank account in the UK. Answering everything from
DECEMBER th 2014 (This document loses its validity on DECEMBER, 2014). COMMODITY GMO SOYA BEANS GRADE # 2
DECEMBER th 2014 (This document loses its validity on DECEMBER, 2014). COMMODITY GMO SOYA BEANS GRADE # 2 SPECIFICATIONS: GMO SOYA BEANS GRADE # 2 SOYA BEAN GRADE 2 GMO: suitable for human consumption
Long-term Care Insurance: Where are the Opportunities in Europe?
A Datamonitor Brief timely Long-term Care Insurance: Where are the Opportunities in Europe? Reacting to the latest news breaking in your industry focused Publication Date: Jun-04 Product Code: primary
Section 4: Treasury Management Strategy, Investment Strategy, Prudential Indicators and Minimum Revenue Provision Policy 2014/15
Section 4: Treasury Management Strategy, Investment Strategy, Prudential Indicators and Minimum Revenue Provision Policy 2014/15 Appendix E Annual Investment Strategy 2014/15 1. The Annual Investment Strategy
WEBSITES FOR WEALTH MANAGEMENT 2013
1 WEBSITES FOR WEALTH MANAGEMENT 2013 Benchmarking - Best Practices Strategies Report Extract Original Report with 251 pages plus comprehensive data appendix November 2013 Zusatz Zusatz WEBSITES FOR WEALTH
Best Practice in Wealth Management Asia Pacific
A Datamonitor report Best Practice in Wealth Management Asia Pacific Published: May-05 Product Code: Providing you with: Analysis of best practice in wealth management around the globe, with a focus on
% of Amortized INVESTMENT CATEGORY
Fund Name Morgan Stanley Institutional Liquidity Funds - Prime Portfolio Statement Date Unaudited Holdings as of April 30, 2016 WAM (Days) 23 Days WAL (Days) 35 Days Net Assets 19,742,684,083 EFFECTIVE
ASSET BASED FINANCE ASSOCIATION QUARTERLY STATISTICS TO JUNE 2014
ASSET BASED FINANCE ASSOCIATION QUARTERLY STATISTICS TO JUNE 214 CONTENTS Page 1. List of contributors 1 2.1. Clients sales 2 2.2. Balances at the period end 3 2.3. Analysis of sole lender and syndicate
Summary Report - Mar 13, 2012 Survey: Investment Trust Survey
Summary Report - Mar 13, 212 Survey: Investment Trust Survey 1 Do you own or have you considered investing in a: 81.5% 63.3% 5 22.8% investment trust OEIC or unit trust ETF 1. Do you own or have you considered
Best Execution Policy
Best Execution Policy Best Execution Policy hereinafter referred to as the company I. Objective This Best Execution Policy establishes principles and procedures to achieve in the context of transactions
Provider Share Class Name ISIN Diamond Rating
Provider Share Class Name ISIN Diamond Rating GB00B1G5TD15 5 Balanced Retail A Margetts Greystone GB00B0MTNP05 5 Managers Managers SWIP Multi-Manager Funds Marks & Spencer Unit Trust Marks & Spencer Unit
Order Execution Policy - Citco Bank Nederland N.V.
Order Execution Policy - Citco Bank Nederland N.V. 1. Objective of Policy The objective of the Policy is to summarize the arrangements that Citco Bank Nederland N.V. ( CBN ) has established in order to
Press announcement from the meeting of the Commission for Banking Supervision (KNB) held on 12 January 2006
COMMISION FOR BANKING SUPERVISION Postal address: 11/21 Świętokrzyska Street, 00-919 Warsaw, Poland Office address: General Inspector of Banking Supervision: 23 Syreny Street, 01-150 Warsaw, Poland phone
Credit Ratings vs. Market Pricing
DIMENSIONAL FUND ADVISORS Special Posting June 2012 The financial media treated the recent credit-ratings downgrade of fifteen major US and European banks by Moody s Investors Service as big news. But
ASSET BASED FINANCE ASSOCIATION QUARTERLY STATISTICS TO MARCH 2015
ASSET BASED FINANCE ASSOCIATION QUARTERLY STATISTICS TO MARCH 21 Asset Based Finance Association MARCH 21 CONTENTS Page 1. List of contributors 1 2.1. Clients sales 2 2.2. Balances at the period end 3
The Importance of Brand in the Asset Management Industry. Presentation prepared for Financial Services Forum. London, 25 th June 2015.
The Importance of in the Asset Management Industry Presentation prepared for Financial Services Forum. London, 25 th June 2015. 1. How s drive business value The importance of Customer Experience in driving
Platform Brochure Online Support for Your Platform Account. www.capitalplatforms.com
Platform Brochure Online Support for Your Platform Account www.capitalplatforms.com Introduction The Fund Platform provides a solution offering access to an unrivalled choice of offshore mutual funds,
CANADA CAPITAL MARKETS REVIEW MANAGING UNDERWRITERS. REUTERS / Mark Blinch
CANADA CAPITAL MARKETS REVIEW MANAGING UNDERWRITERS REUTERS / Mark Blinch First Nine Months 0 First Nine Months 0 Canadian Capital s Managing Underwriters Canadian Capital s Review Table of Contents Canadian
2015 H1 European Cash Equity and ETF Broker Rankings. Calculated by Markit MSA
2015 H1 European Cash Equity and ETF Rankings Calculated by Markit MSA Markit is a leading, global financial information services company. Markit delivers over 40 products and services designed to reduce
ANALYTICAL SERVICES. November 2007
ANALYTICAL SERVICES November 2007 Table of Contents Corporate Advisory Services Analytical Services -Targeting Studies Question & Answer 1 CORPORATE ADVISORY SERVICES Overview Corporate Advisory Services
GLOBAL M&A MARKET REVIEW FINANCIAL RANKINGS
GLOBAL M&A MARKET REVIEW FINANCIAL INGS 1st 3Q 2015 1st 3Q 2015 GLOBAL M&A FINANCIAL ADVISORY INGS CONTENTS 1. Introduction 2. Global M&A Heat Map 3. Global M&A Regional Review 4. Global M&A League Tables
WRITTEN NOTICE CORE UK GROUP PERMISSION
WRITTEN NOTICE CORE UK GROUP PERMISSION To: The Royal Bank of Scotland plc; National Westminster Bank plc; Adam & Company plc; Coutts & Company; and Ulster Bank Limited (each a firm and collectively the
Your easy guide to cash ISAs. How to make the most of your tax-free savings
Your easy guide to cash ISAs How to make the most of your tax-free savings Make a cash ISA the first place you start saving Cash ISAs are simply savings accounts where the interest is paid tax-free They
Order Execution Policy
Order Execution Policy 1 Overview The purpose of this document is to provide clients of Stocktrade ( Stocktrade or we or us ) with information in relation to our Order Execution Policy. The Order Execution
Banking reform draft secondary legislation: summary of responses
Banking reform draft secondary legislation: summary of responses December 2013 Banking reform draft secondary legislation: summary of responses December 2013 Crown copyright 2013 You may re-use this information
Managing For Growth. Fred Goodwin Group Chief Executive
Managing For Growth Fred Goodwin Group Chief Executive Certain statements made in this presentation are forward looking statements. Such statements are based on current expectations and are subject to
Lost track of your account?
Lost track of your account? If you ve got an account that s gone walkies, help is at hand. mylostaccount.org.uk is a free online service that helps you trace lost accounts and bring them safely back. This
ASSET BASED FINANCE ASSOCIATION QUARTERLY STATISTICS TO SEPTEMBER 2015
ASSET BASED FINANCE ASSOCIATION QUARTERLY STATISTICS TO SEPTEMBER 21 CONTENTS Page 1. List of contributors 1 2.1. Clients sales 2 2.2. Balances at the period end 3 2.3. Analysis of sole lender and syndicate
DECEMBER TH 2014 (This document loses its validity on DECEMBER, 2014). SUGAR IC 45 BRAZIL
DECEMBER TH 2014 (This document loses its validity on DECEMBER, 2014). SUGAR IC 45 BRAZIL SPECIFICATION: WHITE REFINED SUGAR Icumsa 45 for human consumption shall conform to international specifications
Disclosure of shareholdings
Disclosure of shareholdings BlackRock reaches the threshold of 5% 1. Publication date 19 November 2013 Zurich Insurance Group Ltd Mythenquai 2 8022 Zurich Switzerland www.zurich.com SIX Swiss Exchange/
Managing private wealth and the offshore financial centre
Managing private wealth and the offshore financial centre Dr Sarah Hall and Professor Jonathan V Beaverstock Sarah.hall@nottingham.ac.uk Jonathan.beaverstock@nottingham.ac.uk Introduction Servicing the
Financial Services Compensation Scheme: changes to the Compensation sourcebook (CP12/7) A response paper by the Futures and Options Association
Financial Services Compensation Scheme: changes to the Compensation sourcebook (CP12/7) A response paper by the Futures and Options Association APRIL 2012 Financial Services Compensation Scheme: changes
Actiance, Inc. Regional Sales Manager Social Media & Compliance Specialist. Allen & Overy LLP Associate
Actiance, Inc. Regional Sales Manager Social Media & Compliance Specialist Allen & Overy LLP Associate Ameriprise Financial & Chief Counsel & Group Counsel, Interactive Marketing Bank of America Assistant