Search Result
COND 2.1 Threshold condition 1: Legal status
As Published: 2002
COND 2.1 Threshold condition 1: Legal status
…
PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
As Published: 2005
PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
…
COBS 13.1 The obligation to prepare product information
As Published: 2007
COBS 13.1 The obligation to prepare product information
…
DEPP 3.1 The Regulatory Decisions Committee
As Published: 2007
DEPP 3.1 The Regulatory Decisions Committee
…
BIPRU 7.11 Credit derivatives in the trading book
As Published: 2007
BIPRU 7.11 Credit derivatives in the trading book
…
DISP 1.5 Complaints resolved by close of the next business day
As Published: 2002
DISP 1.5 Complaints resolved by close of the next business day
…
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
…
MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements
As Published: 2009
MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements
…
BIPRU 9.12 Calculation of risk-weighted exposure amounts under the IRB approach
As Published: 2006
BIPRU 9.12 Calculation of risk-weighted exposure amounts under the IRB approach
…
SUP App 2.8 Ceasing to effect contracts of insurance
As Published: 2002
SUP App 2.8 Ceasing to effect contracts of insurance
…
COBS 2.4 Agent as client and reliance on others
As Published: 2007
COBS 2.4 Agent as client and reliance on others
…
PERG 5.5 The regulated activities: dealing in contracts as agent
As Published: 2005
PERG 5.5 The regulated activities: dealing in contracts as agent
…
PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
As Published: 2005
PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
…