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REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

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PERG 14.5 The ‘by-way-of-business’ test

As Published: 2006

PERG 14.5 The ‘by-way-of-business’ test

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ICOBS 2.1 Client categorisation

As Published: 2007

ICOBS 2.1 Client categorisation

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DISP 3.7 Awards by the Ombudsman

As Published: 2008

DISP 3.7 Awards by the Ombudsman

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REC 3.3 Waivers

As Published: 2001

REC 3.3 Waivers

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SUP 4.5 Provisions applicable to all actuaries

As Published: 2004

SUP 4.5 Provisions applicable to all actuaries

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PERG 2.4 Link between activities and the United Kingdom

As Published: 2007

PERG 2.4 Link between activities and the United Kingdom

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PERG 4.13 Other exemptions

As Published: 2005

PERG 4.13 Other exemptions

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PERG 7.5 When is it appropriate to apply for a certificate?

As Published: 2005

PERG 7.5 When is it appropriate to apply for a certificate?

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Similar To

PERG 8.18 Financial promotions concerning the Lloyd’s market

MAR 1.3 Market abuse (insider dealing)

PR 5.3 Certificate of approval

SUP 6.2 Introduction

REC 6.3 Recognition requirements

SUP 5.1 Application and purpose

COLL 8.6 Termination, suspension, and schemes of arrangement

PERG 14.8 Financial promotions

SUP 7.3 Criteria for varying a firm's permission

PERG 13.1 Introduction

GENPRU 2.3 Application of GENPRU 2 to Lloyd's

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading