Search Result
DTR 5.8 Procedures for the notification and disclosure of major holdings
As Published: 2007
DTR 5.8 Procedures for the notification and disclosure of major holdings
…
MAR 1.4 Market abuse (improper disclosure)
As Published: 2001
MAR 1.4 Market abuse (improper disclosure)
…
COLL 6.10 Senior personnel responsibilities
As Published: 2011
COLL 6.10 Senior personnel responsibilities
…
MCOB 13.5 Dealing with a customer in arrears or with a sale shortfall on a regulated mortgage contract
As Published: 2006
MCOB 13.5 Dealing with a customer in arrears or with a sale shortfall on a regulated mortgage contract
…
DEPP 2.2 Warning notices and first supervisory notices
As Published: 2007
DEPP 2.2 Warning notices and first supervisory notices
…
DISP App 3.5 Re-assessing rejected claims
As Published: 2010
DISP App 3.5 Re-assessing rejected claims
…
SUP 3.11 Review of auditor’s client assets report
As Published: 2011
SUP 3.11 Review of auditor’s client assets report
…
DTR 5.2 Acquisition or disposal of major proportions of voting rights
As Published: 2007
DTR 5.2 Acquisition or disposal of major proportions of voting rights
…
ICOBS 4.2 Additional requirements for protection policies for insurance intermediaries and insurers
As Published: 2008
ICOBS 4.2 Additional requirements for protection policies for insurance intermediaries and insurers
…
COBS 4.10 Systems and controls and approving and communicating financial promotions
As Published: 2007
COBS 4.10 Systems and controls and approving and communicating financial promotions
…
PERG 15.4 Small payment institutions, agents and exempt bodies
As Published: 2011
PERG 15.4 Small payment institutions, agents and exempt bodies
…