Search Result
PERG 8.32 Arranging deals in investments
As Published: 2005
PERG 8.32 Arranging deals in investments
…
LR 10.7 Transactions by specialist companies
As Published: 2005
LR 10.7 Transactions by specialist companies
…
SUP App 3.10 Mapping of Insurance Directives to the Regulated Activities Order
As Published: 2004
SUP App 3.10 Mapping of Insurance Directives to the Regulated Activities Order
…
SUP 12.3 What responsibility does a firm have for its appointed representatives ?
As Published: 2001
SUP 12.3 What responsibility does a firm have for its appointed representatives ?
…
FEES 4.3 Periodic fee payable by firms (other than ICVCs and UCITS qualifiers)
As Published: 2006
FEES 4.3 Periodic fee payable by firms (other than ICVCs and UCITS qualifiers)
…
PERG 8.25 Advice must relate to an investment which is a security or contractually based investment
As Published: 2005
PERG 8.25 Advice must relate to an investment which is a security or contractually based investment
…
LR 12.5 Purchase of own securities other than equity shares
As Published: 2005
LR 12.5 Purchase of own securities other than equity shares
…
LR 8.6 Criteria for approval as a sponsor
As Published: 2005
LR 8.6 Criteria for approval as a sponsor
…
REC 2.13 Promotion and maintenance of standards
As Published: 2004
REC 2.13 Promotion and maintenance of standards
…