Search Result

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

…

COBS 20.2 Treating with-profits policyholders fairly

As Published: 2009

COBS 20.2 Treating with-profits policyholders fairly

…

MCOB 1.2 General application: who? what?

As Published: 2005

MCOB 1.2 General application: who? what?

…

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

As Published: 2006

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

CASS 1A.2 CASS firm classification

SUP 16.17 Remuneration reporting

REC 4.4 Complaints

REC 2.4 Suitability

REC 3.6 Constitution and governance

SUP 16.10 Verification of standing data

REC 2.14 Rules and consultation

REC 6A.2 Removal of passport rights from EEA market operator

SUP 2.4 'Mystery shopping'

CASS 1A.3 Responsibility for CASS operational oversight

PERG 9.3 The definition

GEN 6.1 Payment of financial penalties

SUP 16.11 Product Sales Data Reporting

GEN 1.3 Emergency

REC 6.2 Applications

SUP 11.7 Acquisition or increase of control: assessment process and criteria

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading