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
As Published: 2004
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
…
REC 2.8 Settlement and clearing services
As Published: 2004
REC 2.8 Settlement and clearing services
…
CASS 5.4 Non-statutory client money trust
As Published: 2004
CASS 5.4 Non-statutory client money trust
…
PR 1.2 Requirement for a prospectus and exemptions
As Published: 2009
PR 1.2 Requirement for a prospectus and exemptions
…
COBS 4.12 Unregulated collective investment schemes
As Published: 2007
COBS 4.12 Unregulated collective investment schemes
…
SUP 17.4 Information in transaction reports
As Published: 2007
SUP 17.4 Information in transaction reports
…
COBS 14.2 Providing product information to clients
As Published: 2007
COBS 14.2 Providing product information to clients
…
COBS 11.8 Recording telephone conversations and electronic communications
As Published: 2008
COBS 11.8 Recording telephone conversations and electronic communications
…
COLL 12.3 EEA UCITS management companies
As Published: 2011
COLL 12.3 EEA UCITS management companies
…
COBS 21.2 Principles for firms engaged in linked long-term insurance business
As Published: 2007
COBS 21.2 Principles for firms engaged in linked long-term insurance business
…
COBS 14.3 Information about designated investments
As Published: 2007
COBS 14.3 Information about designated investments
…
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
…
COBS 9.1 Application and purpose provisions
As Published: 2007
COBS 9.1 Application and purpose provisions
…
TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
…
LR 9.7A Preliminary statement of annual results, statement of dividends and half-yearly reports
As Published: 2006
LR 9.7A Preliminary statement of annual results, statement of dividends and half-yearly reports
…