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 15.8 Notification in respect of particular products and services

As Published: 2001

SUP 15.8 Notification in respect of particular products and services

…

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

As Published: 2006

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

…

MIPRU 2.2 Allocation of the responsibility for insurance mediation activity

As Published: 2007

MIPRU 2.2 Allocation of the responsibility for insurance mediation activity

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COBS 4.6 Past, simulated past and future performance

COBS 4.5 Communicating with retail clients

CASS 1A.3 Responsibility for CASS operational oversight

PERG 8.17-A Financial promotions concerning consumer credit and consumer hire

PERG 8.5 In the course of business

COBS 4.9 Financial promotions with an overseas element

COLL 4.2 Pre-sale notifications

CONC 1.2 Who? What? Where?

TC 2.1 Assessing and maintaining competence

CREDS 1.1 Application and purpose

REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)

REC 2.7 Access to facilities

DISP 1.11 The Society of Lloyd's

DTR 1C.1 Application and purpose (Primary information providers)

DTR 8.1 Application

DTR 8.3 Criteria for approval as a primary information provider

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