Search Result
COBS 6.1B Retail investment product provider and platform service provider requirements relating to adviser charging and remuneration
As Published: 2010
COBS 6.1B Retail investment product provider and platform service provider requirements relating to adviser charging and remuneration
…
REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
As Published: 2004
REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
…
LR 4.3 Approval and publication of listing particulars
As Published: 2005
LR 4.3 Approval and publication of listing particulars
…
REC 4.2B Exercise of passport rights by a UK RIE
As Published: 2007
REC 4.2B Exercise of passport rights by a UK RIE
…
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
…
BIPRU 9.14 Recognition of credit risk mitigation on securitisation positions under the IRB approach
As Published: 2007
BIPRU 9.14 Recognition of credit risk mitigation on securitisation positions under the IRB approach
…
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 12.4 Research recommendations: required disclosures
As Published: 2007
COBS 12.4 Research recommendations: required disclosures
…
REC 6A.2 Removal of passport rights from EEA market operator
As Published: 2007
REC 6A.2 Removal of passport rights from EEA market operator
…