Search Result
COBS 4.6 Past, simulated past and future performance
As Published: 2007
COBS 4.6 Past, simulated past and future performance
…
COBS 4.5 Communicating with retail clients
As Published: 2008
COBS 4.5 Communicating with retail clients
…
LR App 2.1 The provisions outlined in LR App 2.1 in relation to fees are set out in FEES 3 and 4
As Published: 2005
LR App 2.1 The provisions outlined in LR App 2.1 in relation to fees are set out in FEES 3 and 4
…
SUP 16.13 Reporting under the Payment Services Regulations
As Published: 2010
SUP 16.13 Reporting under the Payment Services Regulations
…
PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
As Published: 2005
PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
…
PERG 4.8 Administering a regulated mortgage contract
As Published: 2008
PERG 4.8 Administering a regulated mortgage contract
…
PERG 7.5 When is it appropriate to apply for a certificate?
As Published: 2005
PERG 7.5 When is it appropriate to apply for a certificate?
…
DTR 5.8 Procedures for the notification and disclosure of major holdings
As Published: 2007
DTR 5.8 Procedures for the notification and disclosure of major holdings
…
COLL 7.5 Schemes or sub-funds that are not commercially viable
As Published: 2004
COLL 7.5 Schemes or sub-funds that are not commercially viable
…
SYSC 4.4 Apportionment of responsibilities
As Published: 2008
SYSC 4.4 Apportionment of responsibilities
…
COBS 10.7 Record keeping and retention periods for appropriateness records
As Published: 2008
COBS 10.7 Record keeping and retention periods for appropriateness records
…
DISP 2.1 Purpose, interpretation and application
As Published: 2003
DISP 2.1 Purpose, interpretation and application
…
DISP 2.6 What is the territorial scope of the relevant jurisdiction?
As Published: 2003
DISP 2.6 What is the territorial scope of the relevant jurisdiction?
…
PERG 5.9 The Regulated Activities: agreeing to carry on a regulated activity
As Published: 2005
PERG 5.9 The Regulated Activities: agreeing to carry on a regulated activity
…