Search Result
COLL 5.8 Investment powers and borrowing limits for feeder UCITS
As Published: 2011
COLL 5.8 Investment powers and borrowing limits for feeder UCITS
…
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)
…
CASS 1A.3 Responsibility for CASS operational oversight
As Published: 2010
CASS 1A.3 Responsibility for CASS operational oversight
…
SYSC 4.2 Persons who effectively direct the business
As Published: 2008
SYSC 4.2 Persons who effectively direct the business
…
REC 4.5 FSA supervision of action by UK recognised bodies under their default rules
As Published: 2001
REC 4.5 FSA supervision of action by UK recognised bodies under their default rules
…
LR 5.4A Transfer between listing categories: Equity shares
As Published: 2009
LR 5.4A Transfer between listing categories: Equity shares
…
COBS 9.3 Guidance on assessing suitability
As Published: 2007
COBS 9.3 Guidance on assessing suitability
…
ICOBS 4.2 Additional requirements for protection policies for insurance intermediaries and insurers
As Published: 2008
ICOBS 4.2 Additional requirements for protection policies for insurance intermediaries and insurers
…
DISP 2.6 What is the territorial scope of the relevant jurisdiction?
As Published: 2003
DISP 2.6 What is the territorial scope of the relevant jurisdiction?
…
ICOBS 5.2 Statement of demands and needs
As Published: 2008
ICOBS 5.2 Statement of demands and needs
…