Search Result
COBS 18.2 Energy market activity and oil market activity
As Published: 2007
COBS 18.2 Energy market activity and oil market activity
…
REC 3.25 Significant breaches of rules and disorderly trading conditions
As Published: 2007
REC 3.25 Significant breaches of rules and disorderly trading conditions
…
COBS 10.7 Record keeping and retention periods for appropriateness records
As Published: 2008
COBS 10.7 Record keeping and retention periods for appropriateness records
…
REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
As Published: 2004
REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
…
REC 4.2B Exercise of passport rights by a UK RIE
As Published: 2007
REC 4.2B Exercise of passport rights by a UK RIE
…
LR 4.3 Approval and publication of listing particulars
As Published: 2005
LR 4.3 Approval and publication of listing particulars
…
COBS 12.4 Research recommendations: required disclosures
As Published: 2007
COBS 12.4 Research recommendations: required disclosures
…
TC App 7.1 Guidelines for qualification gap-fill for retail investment advice
As Published: 2011
TC App 7.1 Guidelines for qualification gap-fill for retail investment advice
…
BIPRU 9.14 Recognition of credit risk mitigation on securitisation positions under the IRB approach
As Published: 2007
BIPRU 9.14 Recognition of credit risk mitigation on securitisation positions under the IRB approach
…
COBS 19.1 Pension transfers and opt-outs
As Published: 2007
COBS 19.1 Pension transfers and opt-outs
…