Search Result
CASS 5.8 Safe keeping of client's documents and other assets
As Published: 2005
CASS 5.8 Safe keeping of client's documents and other assets
…
LR 8.2 When a sponsor must be appointed or its guidance obtained
As Published: 2007
LR 8.2 When a sponsor must be appointed or its guidance obtained
…
DISP 3.3 Dismissal without consideration of the merits and test cases
As Published: 2004
DISP 3.3 Dismissal without consideration of the merits and test cases
…
SUP 15.9 Notifications by members of financial conglomerates
As Published: 2004
SUP 15.9 Notifications by members of financial conglomerates
…
SUP 17.4 Information in transaction reports
As Published: 2007
SUP 17.4 Information in transaction reports
…
COBS 2.4 Agent as client and reliance on others
As Published: 2007
COBS 2.4 Agent as client and reliance on others
…
LR 4.2 Contents and format of listing particulars
As Published: 2005
LR 4.2 Contents and format of listing particulars
…
INSPRU 8.2 Special provisions for Lloyd's
As Published: 2006
INSPRU 8.2 Special provisions for Lloyd's
…
COBS 14.3 Information about designated investments
As Published: 2007
COBS 14.3 Information about designated investments
…
MAR 5.7 Pre-trade transparency requirements for shares
As Published: 2007
MAR 5.7 Pre-trade transparency requirements for shares
…
SUP 13A.5 EEA firms providing cross border services into the United Kingdom
As Published: 2009
SUP 13A.5 EEA firms providing cross border services into the United Kingdom
…
PERG 5.7 The regulated activities: assisting in the administration and performance of a contract of insurance
As Published: 2005
PERG 5.7 The regulated activities: assisting in the administration and performance of a contract of insurance
…