Search Result
COB 9.3 These provisions have been moved to the Client Assets sourcebook (CASS)
As Published: 2001
COB 9.3 These provisions have been moved to the Client Assets sourcebook (CASS)
…
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)
…
GEN 4.4 Business for private customers from non-UK offices
As Published: 2004
GEN 4.4 Business for private customers from non-UK offices
…
PERG 5.5 The regulated activities: dealing in contracts as agent
As Published: 2005
PERG 5.5 The regulated activities: dealing in contracts as agent
…
DTR 5.9 Filing of information with competent authority
As Published: 2007
DTR 5.9 Filing of information with competent authority
…
PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)
As Published: 2005
PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)
…
REC 3.13 Delegation of relevant functions
As Published: 2001
REC 3.13 Delegation of relevant functions
…
PERG 8.19 Additional restriction on the promotion of life policies
As Published: 2005
PERG 8.19 Additional restriction on the promotion of life policies
…
SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives
As Published: 2001
SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives
…