Search Result
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
…
SUP 13A.3 Qualifications for authorisation under the Act
As Published: 2007
SUP 13A.3 Qualifications for authorisation under the Act
…
COBS 11.5 Record keeping: client orders and transactions
As Published: 2007
COBS 11.5 Record keeping: client orders and transactions
…
PERG 8.26 The investment must be a particular investment
As Published: 2005
PERG 8.26 The investment must be a particular investment
…
PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)
As Published: 2005
PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)
…
MIPRU 2.2 Allocation of the responsibility for insurance mediation activity
As Published: 2007
MIPRU 2.2 Allocation of the responsibility for insurance mediation activity
…
TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
…
SUP 18.4 Friendly Society transfers and amalgamations
As Published: 2001
SUP 18.4 Friendly Society transfers and amalgamations
…
FEES 5.9 Leaving the Financial Ombudsman Service
As Published: 2009
FEES 5.9 Leaving the Financial Ombudsman Service
…