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REC 4.5 FSA supervision of action by UK recognised bodies under their default rules
As Published: 2001
REC 4.5 FSA supervision of action by UK recognised bodies under their default rules
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COBS 7.2 Information to be provided by the insurance intermediary
As Published: 2007
COBS 7.2 Information to be provided by the insurance intermediary
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PERG 13.3 Investment Services and Activities
As Published: 2007
PERG 13.3 Investment Services and Activities
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COND 2.3 Threshold condition 3: Close links
As Published: 2004
COND 2.3 Threshold condition 3: Close links
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PERG 5.8 The regulated activities: advising on contracts of insurance
As Published: 2005
PERG 5.8 The regulated activities: advising on contracts of insurance
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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
As Published: 2004
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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DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
As Published: 2010
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
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SUP 13A.3 Qualifications for authorisation under the Act
As Published: 2007
SUP 13A.3 Qualifications for authorisation under the Act
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COBS 20.2 Treating with-profits policyholders fairly
As Published: 2009
COBS 20.2 Treating with-profits policyholders fairly
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ICOBS 2.2 Communications to clients and financial promotions
As Published: 2008
ICOBS 2.2 Communications to clients and financial promotions
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