Search Result
PR 1.2 Requirement for a prospectus and exemptions
As Published: 2005
PR 1.2 Requirement for a prospectus and exemptions
…
TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
…
REC 3.14A Operation of a regulated market or MTF
As Published: 2007
REC 3.14A Operation of a regulated market or MTF
…
PERG 8.17 Financial promotions concerning agreements for qualifying credit
As Published: 2005
PERG 8.17 Financial promotions concerning agreements for qualifying credit
…
SUP 6.4 Applications for cancellation of permission
As Published: 2004
SUP 6.4 Applications for cancellation of permission
…
DISP 2.7 The territorial scope of the jurisdiction of the Financial Ombudsman Service
As Published: 2002
DISP 2.7 The territorial scope of the jurisdiction of the Financial Ombudsman Service
…
PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)
As Published: 2005
PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)
…
COND 2.5 Threshold condition 5: Suitability
As Published: 2004
COND 2.5 Threshold condition 5: Suitability
…
PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
As Published: 2005
PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
…
COLL 9.3 Section 270 and 272 recognised schemes
As Published: 2004
COLL 9.3 Section 270 and 272 recognised schemes
…
PERG 13.3 Investment Services and Activities
As Published: 2007
PERG 13.3 Investment Services and Activities
…
PERG 4.11 Link between activities and the United Kingdom
As Published: 2007
PERG 4.11 Link between activities and the United Kingdom
…
PERG 13.7 The territorial application of MiFID
As Published: 2007
PERG 13.7 The territorial application of MiFID
…
ICOBS 6.4 Pre- and post-contract information: protection policies
As Published: 2008
ICOBS 6.4 Pre- and post-contract information: protection policies
…