Search Result
LR 8.2 When a sponsor must be appointed or its assistance obtained
As Published: 2007
LR 8.2 When a sponsor must be appointed or its assistance obtained
…
COBS 11.5 Record keeping: client orders and transactions
As Published: 2007
COBS 11.5 Record keeping: client orders and transactions
…
PERG 4.5 Arranging regulated mortgage contracts
As Published: 2005
PERG 4.5 Arranging regulated mortgage contracts
…
COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
As Published: 2006
COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
…
LR 12.5 Purchase of own securities other than equity shares
As Published: 2007
LR 12.5 Purchase of own securities other than equity shares
…
DTR 5.2 Acquisition or disposal of major proportions of voting rights
As Published: 2007
DTR 5.2 Acquisition or disposal of major proportions of voting rights
…
LR 4.2 Contents and format of listing particulars
As Published: 2005
LR 4.2 Contents and format of listing particulars
…
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
As Published: 2004
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
…
SUP 6.4 Applications for cancellation of permission
As Published: 2004
SUP 6.4 Applications for cancellation of permission
…
BIPRU 7.11 Credit derivatives in the trading book
As Published: 2007
BIPRU 7.11 Credit derivatives in the trading book
…