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SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

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SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

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CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

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PERG 13.7 The territorial application of MiFID

As Published: 2007

PERG 13.7 The territorial application of MiFID

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COBS 18.3 Corporate finance business

As Published: 2007

COBS 18.3 Corporate finance business

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CASS 5.1 Application

As Published: 2004

CASS 5.1 Application

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PERG 8.12 Exemptions applying to all controlled activities

As Published: 2005

PERG 8.12 Exemptions applying to all controlled activities

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COBS 16.4 Statements of client designated investments or client money

SYSC 1.4 Application of SYSC 11 to SYSC 18

FEES 4.4 Information on which Fees are calculated

COBS 4.11 Record keeping: financial promotion

PERG 2.8 Exclusions applicable to particular regulated activities

COBS 15.3 Exercising a right to cancel

COBS 12.3 Non-independent research

PERG 2.5 Investments and activities: general

COBS 20.1 Application

COBS 20.3 Principles and Practices of Financial Management

COBS 15.2 The right to cancel

COBS 4.4 Compensation information

COBS 14.1 Interpretation

SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order