Search Result

SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

…

COBS 16.4 Statements of client designated investments or client money

As Published: 2007

COBS 16.4 Statements of client designated investments or client money

…

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COBS 11.8 Recording telephone conversations and electronic communications

COBS 11.7 Personal account dealing

COBS 4.12 Unregulated collective investment schemes

COBS 9.2 Assessing suitability

COBS 16.3 Periodic reporting

COBS 11.4 Client limit orders

COLL 1.1 Applications and purpose

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

COBS 6.3 Disclosing information about services, fees and commission

COBS 18.2 Energy market activity and oil market activity

COBS 5.1 The distance marketing disclosure rules

COBS 6.1C Consultancy charging and remuneration

COBS 19.4 Open market options

COBS 9.6 Special rules for giving basic advice on a stakeholder product

COBS 6.2A Describing advice services

COBS 6.1 Information about the firm and compensation information

COBS 9.4 Suitability reports

SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

COBS 16.4 Statements of client designated investments or client money

COLL 6.9 Independence, names and UCITS business restrictions