Search Result

SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

…

TC App 2.1 TCs Territorial Scope subject to the limitation in TC Appendix 3

As Published: 2007

TC App 2.1 TCs Territorial Scope subject to the limitation in TC Appendix 3

…

PERG 10.4 Pension scheme service providers other than trustees

As Published: 2006

PERG 10.4 Pension scheme service providers other than trustees

…

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

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

MCOB 2.8 Record keeping

COBS 21.2 Principles for firms engaged in linked long-term insurance business

SUP 11.6 Subsequent notification requirements by firms

SUP 2.4 'Mystery shopping'

DEPP 6.7 Discount for early settlement

SUP 15.1 Application

MAR 5.6 Reporting requirements

PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)

ICOBS 6.1 General

SUP 16.14 Client money and asset return

PERG 8.28 Advice or information

ICOBS 8.3 Insurance intermediaries (and insurers handling claims on another insurer’s policy)

DTR 7.1 Audit committees

CASS 1.4 Application: particular activities

PERG 4.14 Mortgage activities carried on by professional firms

APER 1.2 Purpose

SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order