Search Result
REC 3.21 Criminal offences and civil prohibitions
As Published: 2001
REC 3.21 Criminal offences and civil prohibitions
…
PERG 8.17A Financial promotions concerning insurance mediation activities
As Published: 2005
PERG 8.17A Financial promotions concerning insurance mediation activities
…
SUP 3.6 Firms' cooperation with their auditors
As Published: 2001
SUP 3.6 Firms' cooperation with their auditors
…
SYSC 4.2 Persons who effectively direct the business
As Published: 2002
SYSC 4.2 Persons who effectively direct the business
…
BIPRU 11.6 Qualifying requirements for the use of particular instruments or methodologies
As Published: 2007
BIPRU 11.6 Qualifying requirements for the use of particular instruments or methodologies
…
REC 3.14 Products, services and normal hours of operation
As Published: 2001
REC 3.14 Products, services and normal hours of operation
…
REC 3.15 Suspension of services and inability to operate facilities
As Published: 2001
REC 3.15 Suspension of services and inability to operate facilities
…
FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
…
PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
As Published: 2005
PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
…
COB 2.1 Clear, fair and not misleading communication
As Published: 2001
COB 2.1 Clear, fair and not misleading communication
…
BIPRU 9.12 Calculation of risk-weighted exposure amounts under the IRB approach
As Published: 2006
BIPRU 9.12 Calculation of risk-weighted exposure amounts under the IRB approach
…
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 ?
…