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

…

SUP 5.3 Policy on the use of skilled persons

As Published: 2005

SUP 5.3 Policy on the use of skilled persons

…

PR 5.5 Persons responsible for a prospectus

As Published: 2012

PR 5.5 Persons responsible for a prospectus

…

SUP 10A.13 Application for approval and withdrawing an application for approval

As Published: 2013

SUP 10A.13 Application for approval and withdrawing an application for approval

…

COLL 11.6 Winding up, merger and division of master UCITS

As Published: 2011

COLL 11.6 Winding up, merger and division of master UCITS

…

REC 2.5 Systems and controls and conflicts

As Published: 2004

REC 2.5 Systems and controls and conflicts

…

PERG 8.4 Invitation or inducement

As Published: 2005

PERG 8.4 Invitation or inducement

…

COBS 6.1 Information about the firm and compensation information

As Published: 2007

COBS 6.1 Information about the firm and compensation information

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

DTR 6.4 Choice of Home State and notifications by third country issuers

PR 1.2 Requirement for a prospectus and exemptions

LR 20.5 Disclosures

COLL 7.7 UCITS mergers

DTR 2.2 Disclosure of inside information

COLL 4.2 Pre-sale notifications

PERG 9.7 The investment condition: the 'reasonable investor'

RCB 3.2 Annual confirmations of compliance and asset pool monitor

SUP 15.3 General notification requirements

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

PR 4.2 Third country issuers

LR 15.2 Requirements for listing

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