Search Result
COLL 6.10 Senior personnel responsibilities
As Published: 2011
COLL 6.10 Senior personnel responsibilities
…
COBS 13.1 The obligation to prepare product information
As Published: 2007
COBS 13.1 The obligation to prepare product information
…
LR 12.5 Purchase of own securities other than equity shares
As Published: 2007
LR 12.5 Purchase of own securities other than equity shares
…
DISP App 3.9 Other matters concerning redress
As Published: 2010
DISP App 3.9 Other matters concerning redress
…
BIPRU 3.5 Simplified method of calculating risk weights
As Published: 2007
BIPRU 3.5 Simplified method of calculating risk weights
…
GEN 4.5 Statements about authorisation and regulation by the FSA
As Published: 2008
GEN 4.5 Statements about authorisation and regulation by the FSA
…
COLL 11.3 Co-ordination and information exchange for master and feeder UCITS
As Published: 2011
COLL 11.3 Co-ordination and information exchange for master and feeder UCITS
…
MAR 1.4 Market abuse (improper disclosure)
As Published: 2001
MAR 1.4 Market abuse (improper disclosure)
…
DISP 2.3 To which activities does the Compulsory Jurisdiction apply?
As Published: 2003
DISP 2.3 To which activities does the Compulsory Jurisdiction apply?
…
SUP 13A.6 Which rules will an incoming EEA firm be subject to?
As Published: 2007
SUP 13A.6 Which rules will an incoming EEA firm be subject to?
…
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
As Published: 2010
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
…