Search Result
REC 3.17 Inability to discharge regulatory functions
As Published: 2013
REC 3.17 Inability to discharge regulatory functions
…
SUP 13.8 Changes of details: provision of notices to the appropriate UK regulator
As Published: 2001
SUP 13.8 Changes of details: provision of notices to the appropriate UK regulator
…
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
…
LR 15.3 Listing applications and procedures
As Published: 2010
LR 15.3 Listing applications and procedures
…
PERG 16.4 Acting as a depositary of an AIF
As Published: 2013
PERG 16.4 Acting as a depositary of an AIF
…
DTR 1C.1 Application and purpose (Primary information providers)
As Published: 2014
DTR 1C.1 Application and purpose (Primary information providers)
…
DTR 5.5 Acquisition or disposal by issuer of shares
As Published: 2007
DTR 5.5 Acquisition or disposal by issuer of shares
…
REC 3.25 Significant breaches of rules and disorderly trading conditions
As Published: 2007
REC 3.25 Significant breaches of rules and disorderly trading conditions
…
COBS 18.11 Authorised professional firms
As Published: 2007
COBS 18.11 Authorised professional firms
…