Search Result

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

…

SUP 13A.7 Top-up permission

As Published: 2007

SUP 13A.7 Top-up permission

…

SUP App 3.10 Mapping of Insurance Directives to the Regulated Activities Order

As Published: 2004

SUP App 3.10 Mapping of Insurance Directives to the Regulated Activities Order

…

MAR 1.3 Market abuse (insider dealing)

As Published: 2005

MAR 1.3 Market abuse (insider dealing)

…

SUP 12.2 Introduction

As Published: 2001

SUP 12.2 Introduction

…

COLL 1.2 Types of authorised fund

As Published: 2010

COLL 1.2 Types of authorised fund

…

SYSC 12.1 Application

As Published: 2006

SYSC 12.1 Application

…

PR 4.1 Use of languages

As Published: 2005

PR 4.1 Use of languages

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COBS 10.3 Warning the client

COBS 3.2 Clients

COBS 4.11 Record keeping: financial promotion

COBS 10.4 Assessing appropriateness: when it need not be done

DISP 1.3 Complaints handling rules

COLL 9.2 Section 264 recognised schemes

PERG 13.5 Exemptions from MiFID

SUP 6.2 Introduction

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

SUP 13A.3 Qualifications for authorisation under the Act

PERG 2.5 Investments and activities: general

SUP 13.5 Notices of intention

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading