Search Result
DEPP 6.4 Financial penalty or public censure
As Published: 2010
DEPP 6.4 Financial penalty or public censure
…
COBS 6.1 Information about the firm and compensation information
As Published: 2007
COBS 6.1 Information about the firm and compensation information
…
COBS 4.10 Systems and controls and approving and communicating financial promotions
As Published: 2007
COBS 4.10 Systems and controls and approving and communicating financial promotions
…
CONC 3.3 The clear fair and not misleading rule and general requirements
As Published: 2014
CONC 3.3 The clear fair and not misleading rule and general requirements
…
PERG 16.5 How AIFMD affects other regulated activities
As Published: 2013
PERG 16.5 How AIFMD affects other regulated activities
…
BIPRU 12.2 Adequacy of liquidity resources
As Published: 2009
BIPRU 12.2 Adequacy of liquidity resources
…
PERG 2.5 Investments and activities: general
As Published: 2006
PERG 2.5 Investments and activities: general
…
SUP 21.1 Form of waiver for energy market participants
As Published: 2003
SUP 21.1 Form of waiver for energy market participants
…
LR 4.3 Approval and publication of listing particulars
As Published: 2005
LR 4.3 Approval and publication of listing particulars
…
REC 4.2B Exercise of passport rights by a UK RIE
As Published: 2007
REC 4.2B Exercise of passport rights by a UK RIE
…
DEPP 2.2 Warning notices and first supervisory notices
As Published: 2007
DEPP 2.2 Warning notices and first supervisory notices
…
CONC 7.6 Exercise of continuous payment authority
As Published: 2014
CONC 7.6 Exercise of continuous payment authority
…