Search Result
TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
…
COBS 6.1 Information about the firm and compensation information
As Published: 2007
COBS 6.1 Information about the firm and compensation information
…
REC 2.16A Operation of a multilateral trading facility
As Published: 2007
REC 2.16A Operation of a multilateral trading facility
…
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
As Published: 2010
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
…
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
…
SUP 5.6 Confidential information and privilege
As Published: 2001
SUP 5.6 Confidential information and privilege
…
REC 3.5 Disciplinary action and events relating to key individuals
As Published: 2001
REC 3.5 Disciplinary action and events relating to key individuals
…
PERG 8.31 Exclusions for advising on investments
As Published: 2007
PERG 8.31 Exclusions for advising on investments
…
DTR 1B.1 Application and purpose (Corporate governance)
As Published: 2008
DTR 1B.1 Application and purpose (Corporate governance)
…
PERG 13.3 Investment Services and Activities
As Published: 2007
PERG 13.3 Investment Services and Activities
…
PERG 7.3 Does the activity require authorisation?
As Published: 2006
PERG 7.3 Does the activity require authorisation?
…
LR 9.2 Requirements with continuing application
As Published: 2006
LR 9.2 Requirements with continuing application
…
PERG 7.4 Does the article 54 exclusion apply?
As Published: 2006
PERG 7.4 Does the article 54 exclusion apply?
…
COLL 6.9 Independence, names and UCITS business restrictions
As Published: 2006
COLL 6.9 Independence, names and UCITS business restrictions
…
PERG 10.4 Pension scheme service providers other than trustees
As Published: 2006
PERG 10.4 Pension scheme service providers other than trustees
…