Search Result
REC 4.3 Risk assessments for UK recognised bodies
As Published: 2001
REC 4.3 Risk assessments for UK recognised bodies
…
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
…
CASS 9.2 Prime broker's daily report to clients
As Published: 2010
CASS 9.2 Prime broker's daily report to clients
…
BIPRU 3.3 The use of the credit assessments of ratings agencies
As Published: 2007
BIPRU 3.3 The use of the credit assessments of ratings agencies
…
BIPRU 9.7 Recognition of credit assessments of ECAIs
As Published: 2006
BIPRU 9.7 Recognition of credit assessments of ECAIs
…
COBS 9.5 Record keeping and retention periods for suitability records
As Published: 2007
COBS 9.5 Record keeping and retention periods for suitability records
…
TC App 4.1 Appropriate Qualification tables
As Published: 2010
TC App 4.1 Appropriate Qualification tables
…
ICOBS 4.4 Commission disclosure for commercial customers
As Published: 2008
ICOBS 4.4 Commission disclosure for commercial customers
…
REC 6.8 Powers of direction and revocation of recognition orders
As Published: 2001
REC 6.8 Powers of direction and revocation of recognition orders
…