Search Result
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order
…
COBS 9.5 Record keeping and retention periods for suitability records
As Published: 2007
COBS 9.5 Record keeping and retention periods for suitability records
…
COBS 19.2 Personal pensions, FSAVCs and AVCs
As Published: 2007
COBS 19.2 Personal pensions, FSAVCs and AVCs
…
PERG 10.5 Employers and affinity groups (such as trade unions)
As Published: 2006
PERG 10.5 Employers and affinity groups (such as trade unions)
…
PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
As Published: 2005
PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
…
COBS 19.6 Restriction on charges in qualifying schemes
As Published: 2015
COBS 19.6 Restriction on charges in qualifying schemes
…
COBS 19.5 Independent governance committees (IGCs)
As Published: 2015
COBS 19.5 Independent governance committees (IGCs)
…
COBS 12.4 Research recommendations: required disclosures
As Published: 2007
COBS 12.4 Research recommendations: required disclosures
…
COBS 6.1G Re-registration of title to retail investment products
As Published: 2011
COBS 6.1G Re-registration of title to retail investment products
…
CONC 6.7 Post contract: business practices
As Published: 2014
CONC 6.7 Post contract: business practices
…
CASS 9.4 Information to clients concerning custody assets and client money
As Published: 2014
CASS 9.4 Information to clients concerning custody assets and client money
…