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FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
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COBS 4.9 Financial promotions with an overseas element
As Published: 2007
COBS 4.9 Financial promotions with an overseas element
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REC 4.2 The supervisory relationship with UK recognised bodies
As Published: 2007
REC 4.2 The supervisory relationship with UK recognised bodies
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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 14.3 Information about designated investments
As Published: 2007
COBS 14.3 Information about designated investments
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COBS 4.6 Past, simulated past and future performance
As Published: 2007
COBS 4.6 Past, simulated past and future performance
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COBS 9.6 Special rules for giving basic advice on a stakeholder product
As Published: 2007
COBS 9.6 Special rules for giving basic advice on a stakeholder product
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DTR 1.5 Fees, market abuse safe harbours and sanctions
As Published: 2005
DTR 1.5 Fees, market abuse safe harbours and sanctions
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FEES App 1 Annex 4 Glossary of definitions
As Published: 2012
FEES App 1 Annex 4 Glossary of definitions
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DEPP 6A.3 Determining the appropriate length of the period of suspension or restriction
As Published: 2011
DEPP 6A.3 Determining the appropriate length of the period of suspension or restriction
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TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
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