Search Result
COLL 7.5 Schemes or sub-funds that are not commercially viable
As Published: 2004
COLL 7.5 Schemes or sub-funds that are not commercially viable
…
PERG 9.4 Collective investment scheme (section 235 of the Act)
As Published: 2005
PERG 9.4 Collective investment scheme (section 235 of the Act)
…
DTR 5.8 Procedures for the notification and disclosure of major holdings
As Published: 2007
DTR 5.8 Procedures for the notification and disclosure of major holdings
…
ICOBS 2.2 Communications to clients and financial promotions
As Published: 2008
ICOBS 2.2 Communications to clients and financial promotions
…
CRED 7.1 Application, purpose and interpretation
As Published: 2004
CRED 7.1 Application, purpose and interpretation
…
MIPRU 2.3 Knowledge, ability and good repute
As Published: 2007
MIPRU 2.3 Knowledge, ability and good repute
…
SUP 13.8 Changes of details: provision of notices to the FSA
As Published: 2001
SUP 13.8 Changes of details: provision of notices to the FSA
…
REC 3.17 Inability to discharge regulatory functions
As Published: 2001
REC 3.17 Inability to discharge regulatory functions
…
PERG 5.9 The Regulated Activities: agreeing to carry on a regulated activity
As Published: 2005
PERG 5.9 The Regulated Activities: agreeing to carry on a regulated activity
…
COBS 20.3 Principles and Practices of Financial Management
As Published: 2007
COBS 20.3 Principles and Practices of Financial Management
…
BIPRU 4.7 The IRB approach: Equity exposures
As Published: 2007
BIPRU 4.7 The IRB approach: Equity exposures
…
COBS 4.2 Fair, clear and not misleading communications
As Published: 2007
COBS 4.2 Fair, clear and not misleading communications
…
CRED 9.1 Application, purpose and interpretation
As Published: 2002
CRED 9.1 Application, purpose and interpretation
…
COBS 11.5 Record keeping: client orders and transactions
As Published: 2007
COBS 11.5 Record keeping: client orders and transactions
…