Search Result
COBS 4.12 Unregulated collective investment schemes
As Published: 2007
COBS 4.12 Unregulated collective investment schemes
…
PERG 4.15 Mortgage activities carried on by 'packagers'
As Published: 2005
PERG 4.15 Mortgage activities carried on by 'packagers'
…
COBS 17.1 Providing information to claimants and dealing with claims
As Published: 2007
COBS 17.1 Providing information to claimants and dealing with claims
…
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
…
REC 3.25 Significant breaches of rules and disorderly trading conditions
As Published: 2007
REC 3.25 Significant breaches of rules and disorderly trading conditions
…
SUP 13A.4 EEA firms establishing a branch in the United Kingdom
As Published: 2007
SUP 13A.4 EEA firms establishing a branch in the United Kingdom
…
PERG 8.11 Types of exemption under the Financial Promotion Order
As Published: 2005
PERG 8.11 Types of exemption under the Financial Promotion Order
…
COBS 2.1 Acting honestly, fairly and professionally
As Published: 2007
COBS 2.1 Acting honestly, fairly and professionally
…
REC 4.2E Information: compliance of UK RIEs with the MiFID Regulation
As Published: 2007
REC 4.2E Information: compliance of UK RIEs with the MiFID Regulation
…
PERG 4.11 Link between activities and the United Kingdom
As Published: 2007
PERG 4.11 Link between activities and the United Kingdom
…