Search Result

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

…

COBS 9.3 Guidance on assessing suitability

As Published: 2007

COBS 9.3 Guidance on assessing suitability

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

PR 2.1 General contents of prospectus

COBS 3.2 Clients

PERG 9.3 The definition

COBS 8.1 Client agreements: designated investment business

LR 8.3 Role of a sponsor: general

DISP App 1.1 Application and Purpose

SYSC 1.2 Purpose

COBS 18.2 Energy market activity and oil market activity

BIPRU 7.8 Securities underwriting

PERG 8.9 Circumstances where the restriction in section 21 does not apply

CASS 3.1 Application and Purpose

PR 4.1 Use of languages

LR 1.4 Miscellaneous

COBS 10.6 When a firm need not assess appropriateness

DISP 4.2 The standard terms

PERG 14.5 The ‘by-way-of-business’ test

BIPRU 11.5 Technical criteria on disclosure: General requirements

LR 4.3 Approval and publication of listing particulars

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading