Search Result
CASS 1.2 General application: who? what?
As Published: 2003
CASS 1.2 General application: who? what?
…
SUP 13.12 Sources of further information
As Published: 2001
SUP 13.12 Sources of further information
…
COBS 6.3 Disclosing information about services, fees and commission – packaged products
As Published: 2007
COBS 6.3 Disclosing information about services, fees and commission – packaged products
…
COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
As Published: 2005
COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
…
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
…
SUP App 3.10 Mapping of Insurance Directives to the Regulated Activities Order
As Published: 2004
SUP App 3.10 Mapping of Insurance Directives to the Regulated Activities Order
…
COND 2.3 Threshold condition 3: Close links
As Published: 2004
COND 2.3 Threshold condition 3: Close links
…
LR 9.2 Requirements with continuing application
As Published: 2006
LR 9.2 Requirements with continuing application
…
PERG 10.5 Employers and affinity groups (such as trade unions)
As Published: 2006
PERG 10.5 Employers and affinity groups (such as trade unions)
…
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)
…
COBS 6.1 Information about the firm and compensation information
As Published: 2007
COBS 6.1 Information about the firm and compensation information
…
COBS 4.6 Past, simulated past and future performance
As Published: 2007
COBS 4.6 Past, simulated past and future performance
…
PERG 8.32 Arranging deals in investments
As Published: 2005
PERG 8.32 Arranging deals in investments
…
COLL 6.9 Independence, names and UCITS business restrictions
As Published: 2006
COLL 6.9 Independence, names and UCITS business restrictions
…
REC 2.16A Operation of a multilateral trading facility
As Published: 2007
REC 2.16A Operation of a multilateral trading facility
…
SUP 14.3 Changes to cross border services
As Published: 2002
SUP 14.3 Changes to cross border services
…
SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order
…