Search Result
PERG 13.3 Investment Services and Activities
As Published: 2012
PERG 13.3 Investment Services and Activities
…
REC 3.14A Operation of a regulated market or MTF
As Published: 2007
REC 3.14A Operation of a regulated market or MTF
…
SUP 15.9 Notifications by members of financial conglomerates
As Published: 2004
SUP 15.9 Notifications by members of financial conglomerates
…
CASS 11.9 Segregation and the operation of client money accounts
As Published: 2014
CASS 11.9 Segregation and the operation of client money accounts
…
COLL 7.5 Schemes or sub-funds that are not commercially viable
As Published: 2013
COLL 7.5 Schemes or sub-funds that are not commercially viable
…
MCOB 9.9 Disclosure after sale: home reversion plans
As Published: 2006
MCOB 9.9 Disclosure after sale: home reversion plans
…
COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs
As Published: 2007
COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs
…
REC 4.2A Publication of information by UK RIEs and RAPs
As Published: 2007
REC 4.2A Publication of information by UK RIEs and RAPs
…
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)
…
CREDS 7.1 Application, purpose and interpretation
As Published: 2011
CREDS 7.1 Application, purpose and interpretation
…
LR 4.3 Approval and publication of listing particulars
As Published: 2005
LR 4.3 Approval and publication of listing particulars
…
BIPRU 3.7 Classification of off-balance-sheet items
As Published: 2007
BIPRU 3.7 Classification of off-balance-sheet items
…
SUP 14.6 Cancelling qualification for authorisation
As Published: 2004
SUP 14.6 Cancelling qualification for authorisation
…