Search Result
SUP 13A.9 The precautionary measure rule for incoming EEA firms
As Published: 2007
SUP 13A.9 The precautionary measure rule for incoming EEA firms
…
REC 2.5 Systems and controls and conflicts
As Published: 2004
REC 2.5 Systems and controls and conflicts
…
COBS 4.5 Communicating with retail clients
As Published: 2008
COBS 4.5 Communicating with retail clients
…
COBS 6.4 Disclosure of charges, remuneration and commission
As Published: 2007
COBS 6.4 Disclosure of charges, remuneration and commission
…
COBS 14.3 Information about designated investments
As Published: 2007
COBS 14.3 Information about designated investments
…
COBS 14.2 Providing product information to clients
As Published: 2007
COBS 14.2 Providing product information to clients
…
COBS 4.6 Past, simulated past and future performance
As Published: 2007
COBS 4.6 Past, simulated past and future performance
…
COBS 19.2 Personal pensions, FSAVCs and AVCs
As Published: 2007
COBS 19.2 Personal pensions, FSAVCs and AVCs
…
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?
…
COBS 16.6 Communications to clients - life insurance, long term care insurance and income withdrawals
As Published: 2007
COBS 16.6 Communications to clients - life insurance, long term care insurance and income withdrawals
…
COBS 2.1 Acting honestly, fairly and professionally
As Published: 2007
COBS 2.1 Acting honestly, fairly and professionally
…
COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
As Published: 2005
COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
…
COBS 2.4 Agent as client and reliance on others
As Published: 2007
COBS 2.4 Agent as client and reliance on others
…
COBS 18.5 Operators of collective investment schemes
As Published: 2007
COBS 18.5 Operators of collective investment schemes
…