Search Result
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
As Published: 2004
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
…
MAR 5.7 Pre-trade transparency requirements for shares
As Published: 2007
MAR 5.7 Pre-trade transparency requirements for shares
…
REC 3.14A Operation of a regulated market or MTF
As Published: 2007
REC 3.14A Operation of a regulated market or MTF
…
COBS 4.7 Direct offer financial promotions
As Published: 2007
COBS 4.7 Direct offer financial promotions
…
LR 5.4A Transfer between listing categories: Equity shares
As Published: 2009
LR 5.4A Transfer between listing categories: Equity shares
…
DTR 1.3 Information gathering and publication
As Published: 2005
DTR 1.3 Information gathering and publication
…
SUP 15.6 Inaccurate, false or misleading information
As Published: 2005
SUP 15.6 Inaccurate, false or misleading information
…
COBS 4.5 Communicating with retail clients
As Published: 2008
COBS 4.5 Communicating with retail clients
…
COBS 2.4 Agent as client and reliance on others
As Published: 2007
COBS 2.4 Agent as client and reliance on others
…
COBS 2.2 Information disclosure before providing services
As Published: 2008
COBS 2.2 Information disclosure before providing services
…
DTR 1.1 Application and purpose (Disclosure rules)
As Published: 2005
DTR 1.1 Application and purpose (Disclosure rules)
…