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LR 8.2 When a sponsor must be appointed or its guidance obtained
As Published: 2007
LR 8.2 When a sponsor must be appointed or its guidance obtained
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COBS 9.3 Guidance on assessing suitability
As Published: 2007
COBS 9.3 Guidance on assessing suitability
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PERG 8.31 Exclusions for advising on investments
As Published: 2007
PERG 8.31 Exclusions for advising on investments
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DISP 2.5 To which activities does the Voluntary Jurisdiction apply?
As Published: 2005
DISP 2.5 To which activities does the Voluntary Jurisdiction apply?
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COBS 16.6 Communications to clients - life insurance, long term care insurance and income withdrawals
As Published: 2007
COBS 16.6 Communications to clients - life insurance, long term care insurance and income withdrawals
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SUP 17.4 Information in transaction reports
As Published: 2007
SUP 17.4 Information in transaction reports
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DTR 5.8 Procedures for the notification and disclosure of major holdings
As Published: 2007
DTR 5.8 Procedures for the notification and disclosure of major holdings
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MAR 1.6 Market abuse (manipulating transactions)
As Published: 2005
MAR 1.6 Market abuse (manipulating transactions)
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COBS 4.2 Fair, clear and not misleading communications
As Published: 2007
COBS 4.2 Fair, clear and not misleading communications
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PERG 3A.4 Small electronic money institutions, mixed businesses, distributors, agents and exempt bodies
As Published: 2011
PERG 3A.4 Small electronic money institutions, mixed businesses, distributors, agents and exempt bodies
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SYSC 20.2 Reverse stress testing requirements
As Published: 2010
SYSC 20.2 Reverse stress testing requirements
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