Search Result
REC 4.2E Information: compliance of UK RIEs with the MiFID Regulation and Auction Regulation
As Published: 2007
REC 4.2E Information: compliance of UK RIEs with the MiFID Regulation and Auction Regulation
…
COBS 18.11 Authorised professional firms
As Published: 2007
COBS 18.11 Authorised professional firms
…
MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements
As Published: 2009
MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements
…
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?
…
REC 3.20 Disciplinary action relating to members
As Published: 2001
REC 3.20 Disciplinary action relating to members
…
BIPRU 11.6 Qualifying requirements for the use of particular instruments or methodologies
As Published: 2007
BIPRU 11.6 Qualifying requirements for the use of particular instruments or methodologies
…
DISP 2.1 Purpose, interpretation and application
As Published: 2003
DISP 2.1 Purpose, interpretation and application
…
GENPRU 1.2 Adequacy of financial resources
As Published: 2006
GENPRU 1.2 Adequacy of financial resources
…