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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

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DISP App 3.5 Re-assessing rejected claims

As Published: 2010

DISP App 3.5 Re-assessing rejected claims

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FIT 1.3 Assessing fitness and propriety

As Published: 2003

FIT 1.3 Assessing fitness and propriety

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SUP 4.3 Appointment of actuaries

As Published: 2004

SUP 4.3 Appointment of actuaries

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COBS 6.1F Using a platform service for arranging and advising

As Published: 2011

COBS 6.1F Using a platform service for arranging and advising

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Effective Period

Similar To

PR 4.1 Use of languages

SYSC 21.1 Risk control: guidance on governance arrangements

COND 2.3 Effective supervision

SUP 5.6 Confidential information and privilege

APER 1.1A Application

REC 2.15 Discipline

COLL 2.1 Authorised fund applications

IFPRU 2.2 Internal capital adequacy assessment process

TC 1.1 Who, what and where?

SUP 14.4 Notices of proposed changes: form and delivery

SUP 11.5 Notifications by firms

COBS 12.4 Research recommendations: required disclosures

DTR 5.10 Use of electronic means for notifications and filing

SYSC 13.6 People

CONC 6.3 Information to be provided on a current account agreement and on significant overdrawing

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

DISP App 3.5 Re-assessing rejected claims

FIT 1.3 Assessing fitness and propriety

SUP 4.3 Appointment of actuaries

COBS 6.1F Using a platform service for arranging and advising