Search Result

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

…

PERG 10.4 Pension scheme service providers other than trustees

As Published: 2006

PERG 10.4 Pension scheme service providers other than trustees

…

COBS 4.10 Systems and controls and approving and communicating financial promotions

As Published: 2007

COBS 4.10 Systems and controls and approving and communicating financial promotions

…

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 2.4 'Mystery shopping'

SUP 11.6 Subsequent notification requirements by firms

DEPP 6.7 Discount for early settlement

LR 2.2 Requirements for all securities

SUP 15.1 Application

MAR 5.6 Reporting requirements

PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)

SUP 16.5 Annual Close Links Reports

PERG 4.14 Mortgage activities carried on by professional firms

ICOBS 6.1 General

PERG 8.28 Advice or information

ICOBS 8.3 Insurance intermediaries (and insurers handling claims on another insurer’s policy)

CASS 1.4 Application: particular activities

DTR 7.1 Audit committees

APER 1.2 Purpose

TC App 2.1 TCs Territorial Scope subject to the limitation in TC Appendix 3

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