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SUP 13A.3 Qualifications for authorisation under the Act
As Published: 2007
SUP 13A.3 Qualifications for authorisation under the Act
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DTR 2.2 Disclosure of inside information
As Published: 2005
DTR 2.2 Disclosure of inside information
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BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver
As Published: 2007
BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver
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ICOBS 6.3 Pre- and post-contract information: pure protection contracts
As Published: 2008
ICOBS 6.3 Pre- and post-contract information: pure protection contracts
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PERG 9.10 Significance of being an open-ended investment company
As Published: 2005
PERG 9.10 Significance of being an open-ended investment company
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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)
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PERG 2.10 Persons carrying on regulated activities who do not need authorisation
As Published: 2006
PERG 2.10 Persons carrying on regulated activities who do not need authorisation
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SUP 3.7 Notification of matters raised by auditor
As Published: 2004
SUP 3.7 Notification of matters raised by auditor
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COBS 5.1 The distance marketing disclosure rules
As Published: 2007
COBS 5.1 The distance marketing disclosure rules
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PERG 8.18 Financial promotions concerning the Lloyd’s market
As Published: 2007
PERG 8.18 Financial promotions concerning the Lloyd’s market
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SUP 5.6 Confidential information and privilege
As Published: 2001
SUP 5.6 Confidential information and privilege
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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
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DEPP 6.5 Determining the appropriate level of financial penalty
As Published: 2007
DEPP 6.5 Determining the appropriate level of financial penalty
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