Search Result
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
…
SUP 18.3 Insurance business transfers outside the United Kingdom
As Published: 2001
SUP 18.3 Insurance business transfers outside the United Kingdom
…
CASS 7.14 Client money held by a third party
As Published: 2015
CASS 7.14 Client money held by a third party
…
COBS 9.3 Guidance on assessing suitability
As Published: 2013
COBS 9.3 Guidance on assessing suitability
…
CASS 9.5 Reporting to clients on request
As Published: 2014
CASS 9.5 Reporting to clients on request
…
MAR 1.6 Market abuse (manipulating transactions)
As Published: 2005
MAR 1.6 Market abuse (manipulating transactions)
…
COBS 22.2 Requirements on the retail distribution of mutual society shares
As Published: 2015
COBS 22.2 Requirements on the retail distribution of mutual society shares
…
FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
As Published: 2012
FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
…
COBS 6.4 Disclosure of charges, remuneration and commission
As Published: 2007
COBS 6.4 Disclosure of charges, remuneration and commission
…
FEES App 1 Annex 2 Further information on fees
As Published: 2012
FEES App 1 Annex 2 Further information on fees
…
COBS 11.8 Recording telephone conversations and electronic communications
As Published: 2008
COBS 11.8 Recording telephone conversations and electronic communications
…