Search Result
REC 5.1 Introduction and legal background
As Published: 2011
REC 5.1 Introduction and legal background
…
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
…
MAR 1.4 Market abuse (improper disclosure)
As Published: 2001
MAR 1.4 Market abuse (improper disclosure)
…
BIPRU 9.12 Calculation of risk-weighted exposure amounts under the IRB approach
As Published: 2006
BIPRU 9.12 Calculation of risk-weighted exposure amounts under the IRB approach
…
BIPRU 13.8 Securities financing transactions
As Published: 2006
BIPRU 13.8 Securities financing transactions
…
COBS 6.1B Retail investment product provider and platform service provider requirements relating to adviser charging and remuneration
As Published: 2010
COBS 6.1B Retail investment product provider and platform service provider requirements relating to adviser charging and remuneration
…
SYSC 9.1 General rules on record-keeping
As Published: 2007
SYSC 9.1 General rules on record-keeping
…
ICOBS 6.2 Pre-contract information: general insurance contracts
As Published: 2008
ICOBS 6.2 Pre-contract information: general insurance contracts
…
SUP 5.6 Confidential information and privilege
As Published: 2001
SUP 5.6 Confidential information and privilege
…
COBS 10.5 Assessing appropriateness: guidance
As Published: 2007
COBS 10.5 Assessing appropriateness: guidance
…
PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)
As Published: 2005
PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)
…