Search Result
SUP 15.6 Inaccurate, false or misleading information
As Published: 2005
SUP 15.6 Inaccurate, false or misleading information
…
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)
…
COB 9.1 These provisions have been moved to the Client Assets sourcebook (CASS)
As Published: 2002
COB 9.1 These provisions have been moved to the Client Assets sourcebook (CASS)
…
SUP 21.1 Form of waiver for energy market participants
As Published: 2003
SUP 21.1 Form of waiver for energy market participants
…
GEN 1.2 Referring to approval by the FSA
As Published: 2005
GEN 1.2 Referring to approval by the FSA
…
MIPRU 3.2 Professional indemnity insurance requirements
As Published: 2006
MIPRU 3.2 Professional indemnity insurance requirements
…
SUP 16.9 Appointed representatives annual report
As Published: 2002
SUP 16.9 Appointed representatives annual report
…
SYSC 8.1 General outsourcing requirements [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]
As Published: 2006
SYSC 8.1 General outsourcing requirements [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]
…
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
…
BIPRU 1.2 Definition of the trading book
As Published: 2007
BIPRU 1.2 Definition of the trading book
…
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 ?
…