Search Result
FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
As Published: 2012
FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
…
REC 3.25 Significant breaches of rules and disorderly trading conditions
As Published: 2007
REC 3.25 Significant breaches of rules and disorderly trading conditions
…
COBS 10.7 Record keeping and retention periods for appropriateness records
As Published: 2008
COBS 10.7 Record keeping and retention periods for appropriateness records
…
COBS 6.1C Consultancy charging and remuneration
As Published: 2010
COBS 6.1C Consultancy charging and remuneration
…
DTR 1.2 Modifying rules and consulting the FCA
As Published: 2012
DTR 1.2 Modifying rules and consulting the FCA
…
PERG 4.10 Exclusions applying to more than one regulated activity
As Published: 2005
PERG 4.10 Exclusions applying to more than one regulated activity
…
SUP 10A.16 How to apply for approval and give notifications
As Published: 2013
SUP 10A.16 How to apply for approval and give notifications
…
COLL 7.2 Suspension and restart of dealings
As Published: 2008
COLL 7.2 Suspension and restart of dealings
…
FEES 5.8 Joining the Financial Ombudsman Service
As Published: 2009
FEES 5.8 Joining the Financial Ombudsman Service
…
COBS 18.5 Operators of collective investment schemes
As Published: 2007
COBS 18.5 Operators of collective investment schemes
…