Search Result
SUP 13A.5 EEA firms providing cross border services into the United Kingdom
As Published: 2006
SUP 13A.5 EEA firms providing cross border services into the United Kingdom
…
PERG 8.18 Financial promotions concerning the Lloyd’s market
As Published: 2005
PERG 8.18 Financial promotions concerning the Lloyd’s market
…
PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
As Published: 2005
PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
…
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)
…
COB 9.4 These provisions have been moved to the Client Assets sourcebook (CASS)
As Published: 2003
COB 9.4 These provisions have been moved to the Client Assets sourcebook (CASS)
…
LR 10.7 Transactions by specialist companies
As Published: 2005
LR 10.7 Transactions by specialist companies
…
FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
…
REC 6.8 Powers of direction and revocation of recognition orders
As Published: 2001
REC 6.8 Powers of direction and revocation of recognition orders
…
PERG 8.32 Arranging deals in investments
As Published: 2005
PERG 8.32 Arranging deals in investments
…
PERG 8.20 Additional restriction on the promotion of collective investment schemes
As Published: 2005
PERG 8.20 Additional restriction on the promotion of collective investment schemes
…