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 10A.8 Systems and controls functions

As Published: 2013

SUP 10A.8 Systems and controls functions

…

FEES 7.2 The CFEB levy

As Published: 2011

FEES 7.2 The CFEB levy

…

REC 6.1 Introduction and legal background

As Published: 2007

REC 6.1 Introduction and legal background

…

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

As Published: 2007

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

…

FEES 3.1 Introduction

As Published: 2005

FEES 3.1 Introduction

…

PR 1.2 Requirement for a prospectus and exemptions

As Published: 2009

PR 1.2 Requirement for a prospectus and exemptions

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

REC 3.3 Waivers

REC 6.8 Powers to supervise

PERG 9.3 The definition

COND 1.2 Purpose

CASS 5.2 Holding money as agent of insurance undertaking

DISP App 1.2 The standard approach to redress

PERG 8.11 Types of exemption under the Financial Promotion Order

COLL 8.5 Powers and responsibilities

SUP 11.9 Changes in close links

REC 4.2 The supervisory relationship with UK recognised bodies

COLL 6.4 Title and registers

PERG 8.37 AIFMD Marketing

LR 1.4 Miscellaneous

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