Search Result

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

…

PERG 4.10 Exclusions applying to more than one regulated activity

As Published: 2005

PERG 4.10 Exclusions applying to more than one regulated activity

…

PERG 14.8 Financial promotions

As Published: 2006

PERG 14.8 Financial promotions

…

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?

…

SUP 11.3 Requirements on controllers or proposed controllers under the Act

As Published: 2001

SUP 11.3 Requirements on controllers or proposed controllers under the Act

…

DEPP 6.2 Deciding whether to take action

As Published: 2007

DEPP 6.2 Deciding whether to take action

…

COND 2.3 Threshold condition 3: Close links

As Published: 2004

COND 2.3 Threshold condition 3: Close links

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

PERG 4.8 Administering a regulated mortgage contract

SUP 6.5 Ending authorisation

COBS 4.11 Record keeping: financial promotion

SYSC 1.4 Application of SYSC 11 to SYSC 19

PERG 8.10 Types of financial promotion

PERG 4.3 Regulated activities related to mortgages

PERG 1.1 Application and purpose

ICOBS 2.2 Communications to clients and financial promotions

PERG 7.6 Applications for a certificate

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

PERG 2.5 Investments and activities: general

COBS 18.11 Authorised professional firms

PERG 5.15 Illustrative tables

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