Search Result
PR 5.5 Persons responsible for a prospectus
As Published: 2005
PR 5.5 Persons responsible for a prospectus
…
REC 2.13 Promotion and maintenance of standards
As Published: 2004
REC 2.13 Promotion and maintenance of standards
…
SUP 3.10 Duties of auditors: notification and report on client assets
As Published: 2004
SUP 3.10 Duties of auditors: notification and report on client assets
…
COBS 4.7 Direct offer financial promotions
As Published: 2007
COBS 4.7 Direct offer financial promotions
…
COBS 4.10 Systems and controls and approving and communicating financial promotions
As Published: 2007
COBS 4.10 Systems and controls and approving and communicating financial promotions
…
SUP 14.6 Cancelling qualification for authorisation
As Published: 2004
SUP 14.6 Cancelling qualification for authorisation
…
PERG 8.32 Arranging deals in investments
As Published: 2005
PERG 8.32 Arranging deals in investments
…
PERG 8.20 Additional restriction on the promotion of collective investment schemes
As Published: 2005
PERG 8.20 Additional restriction on the promotion of collective investment schemes
…
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
…