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REC 3.14A Operation of a regulated market or MTF
As Published: 2007
REC 3.14A Operation of a regulated market or MTF
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SUP 14.6 Cancelling qualification for authorisation
As Published: 2004
SUP 14.6 Cancelling qualification for authorisation
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PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)
As Published: 2005
PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)
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REC 3.26 Proposals to make regulatory provision
As Published: 2007
REC 3.26 Proposals to make regulatory provision
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DISP 2.3 To which activities does the Compulsory Jurisdiction apply?
As Published: 2003
DISP 2.3 To which activities does the Compulsory Jurisdiction apply?
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FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
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CASS 5.8 Safe keeping of client's documents and other assets
As Published: 2010
CASS 5.8 Safe keeping of client's documents and other assets
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PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
As Published: 2012
PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
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SUP 16.15 Reporting under the Electronic Money Regulations
As Published: 2011
SUP 16.15 Reporting under the Electronic Money Regulations
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PERG 4.14 Mortgage activities carried on by professional firms
As Published: 2005
PERG 4.14 Mortgage activities carried on by professional firms
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