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

…

CASS 7.19 Clearing member client money sub-pools

As Published: 2014

CASS 7.19 Clearing member client money sub-pools

…

MCOB 5.6 Content of illustrations

As Published: 2004

MCOB 5.6 Content of illustrations

…

SUP 12.7 Notification requirements

As Published: 2002

SUP 12.7 Notification requirements

…

COBS 9.4 Suitability reports

As Published: 2007

COBS 9.4 Suitability reports

…

COBS 11.5 Record keeping: client orders and transactions

As Published: 2007

COBS 11.5 Record keeping: client orders and transactions

…

PR 1.2 Requirement for a prospectus and exemptions

As Published: 2009

PR 1.2 Requirement for a prospectus and exemptions

…

MAR 8.3 Requirements for benchmark administrators

As Published: 2013

MAR 8.3 Requirements for benchmark administrators

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 13.12 Sources of further information

COBS 12.2 Investment research

SUP 10A.17 Further questions

COBS 6.1 Information about the firm and compensation information

FEES 3.2 Obligation to pay fees

CASS 5.5 Segregation and the operation of client money accounts

SUP 13.7 Changes to cross border services

CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank

DTR 8.5 Supervision of primary information providers

COBS 9.6 Special rules for giving basic advice on a stakeholder product

COBS 7.2 Information to be provided by the insurance intermediary

GENPRU 2.2 Capital resources

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