Search Result
REC 4.2E Information: compliance of UK RIEs with the MiFID Regulation and Auction Regulation
As Published: 2007
REC 4.2E Information: compliance of UK RIEs with the MiFID Regulation and Auction Regulation
…
COBS 14.3 Information about designated investments
As Published: 2007
COBS 14.3 Information about designated investments
…
COBS 9.6 Special rules for giving basic advice on a stakeholder product
As Published: 2007
COBS 9.6 Special rules for giving basic advice on a stakeholder product
…
GEN 1.2 Referring to approval by the FSA
As Published: 2005
GEN 1.2 Referring to approval by the FSA
…
PERG 9.5 The property condition (section 236(2) of the Act)
As Published: 2005
PERG 9.5 The property condition (section 236(2) of the Act)
…
SUP 14.6 Cancelling qualification for authorisation
As Published: 2004
SUP 14.6 Cancelling qualification for authorisation
…
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
…
FEES 5.9 Leaving the Financial Ombudsman Service
As Published: 2009
FEES 5.9 Leaving the Financial Ombudsman Service
…
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
…
REC 3.17 Inability to discharge regulatory functions
As Published: 2001
REC 3.17 Inability to discharge regulatory functions
…
SUP 3.7 Notification of matters raised by auditor
As Published: 2004
SUP 3.7 Notification of matters raised by auditor
…
REC 6A.1 Exercise of passport rights by EEA market operator
As Published: 2007
REC 6A.1 Exercise of passport rights by EEA market operator
…