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PERG 13.3 Investment Services and Activities
As Published: 2012
PERG 13.3 Investment Services and Activities
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REC 3.17 Inability to discharge regulatory functions
As Published: 2001
REC 3.17 Inability to discharge regulatory functions
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DTR 1A.2 Modifying rules and consulting the FSA
As Published: 2012
DTR 1A.2 Modifying rules and consulting the FSA
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PERG 4.18 Regulated activities related to mortgages: flowchart
As Published: 2005
PERG 4.18 Regulated activities related to mortgages: flowchart
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SYSC 4.2 Persons who effectively direct the business
As Published: 2008
SYSC 4.2 Persons who effectively direct the business
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COBS 14.2 Providing product information to clients
As Published: 2007
COBS 14.2 Providing product information to clients
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DTR 1.3 Information gathering and publication
As Published: 2005
DTR 1.3 Information gathering and publication
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DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
As Published: 2010
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
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COBS 6.3 Disclosing information about services, fees and commission
As Published: 2007
COBS 6.3 Disclosing information about services, fees and commission
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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
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