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

…

MAR 5.7 Pre-trade transparency requirements for shares

As Published: 2007

MAR 5.7 Pre-trade transparency requirements for shares

…

COBS 18.3 Corporate finance business

As Published: 2007

COBS 18.3 Corporate finance business

…

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

…

COBS 12.1 Purpose and application

As Published: 2007

COBS 12.1 Purpose and application

…

COBS 3.8 Policies, procedures and records

As Published: 2007

COBS 3.8 Policies, procedures and records

…

COBS 9.5 Record keeping and retention periods for suitability records

As Published: 2007

COBS 9.5 Record keeping and retention periods for suitability records

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COBS 3.2 Clients

PERG 13.3 Investment Services and Activities

PERG 13.5 Exemptions from MiFID

COBS 10.4 Assessing appropriateness: when it need not be done

COBS 15.3 Exercising a right to cancel

COBS 12.3 Non-independent research

COBS 10.1 Application and purpose provisions

COBS 9.3 Guidance on assessing suitability

COBS 20.3 Principles and Practices of Financial Management

COBS 18.11 Authorised professional firms

COBS 10.6 When a firm need not assess appropriateness

PR App 1.1

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

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

MAR 5.7 Pre-trade transparency requirements for shares

COBS 18.3 Corporate finance business

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

COBS 12.1 Purpose and application

COBS 3.8 Policies, procedures and records

COBS 9.5 Record keeping and retention periods for suitability records