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COBS 11.5 Record keeping: client orders and transactions
As Published: 2007
COBS 11.5 Record keeping: client orders and transactions
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PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
As Published: 2005
PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
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ICOBS 8.3 Insurance intermediaries (and insurers handling claims on another insurer’s policy)
As Published: 2008
ICOBS 8.3 Insurance intermediaries (and insurers handling claims on another insurer’s policy)
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DISP App 3.9 Other matters concerning redress
As Published: 2010
DISP App 3.9 Other matters concerning redress
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DISP App 3.2 The assessment of a complaint
As Published: 2010
DISP App 3.2 The assessment of a complaint
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DTR 6.4 Choice of Home State and notifications by third country issuers
As Published: 2007
DTR 6.4 Choice of Home State and notifications by third country issuers
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PERG 5.5 The regulated activities: dealing in contracts as agent
As Published: 2005
PERG 5.5 The regulated activities: dealing in contracts as agent
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DISP App 3.5 Re-assessing rejected claims
As Published: 2010
DISP App 3.5 Re-assessing rejected claims
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LR App 2.1 The provisions outlined in LR App 2.1 in relation to fees are set out in FEES 3 and 4
As Published: 2005
LR App 2.1 The provisions outlined in LR App 2.1 in relation to fees are set out in FEES 3 and 4
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LR 16.4 Requirements with continuing application
As Published: 2007
LR 16.4 Requirements with continuing application
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FEES App 1 Annex 1 Periodic Fees payable for the period 1 April 2012 to 31 March 2013
As Published: 2012
FEES App 1 Annex 1 Periodic Fees payable for the period 1 April 2012 to 31 March 2013
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PERG 8.18 Financial promotions concerning the Lloyd’s market
As Published: 2007
PERG 8.18 Financial promotions concerning the Lloyd’s market
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GEN 4.4 Business for retail clients from non-UK offices
As Published: 2004
GEN 4.4 Business for retail clients from non-UK offices
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COND 2.1 Threshold condition 1: Legal status
As Published: 2002
COND 2.1 Threshold condition 1: Legal status
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COBS 18.5 Operators of collective investment schemes
As Published: 2007
COBS 18.5 Operators of collective investment schemes
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BIPRU 14.2 Calculation of the capital requirement for CCR
As Published: 2006
BIPRU 14.2 Calculation of the capital requirement for CCR
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