Search Result

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

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COLL 4.3 Approvals and notifications

CONC 11.1 The right to cancel

COLL 12.4 UCITS product passport

EG 6.8 The Financial Services register: publication of prohibitions of individuals (see chapter 9)

CONC 6.6 Pawn broking: conduct of business

DISP App 3.3 The approach to considering evidence

MCOB 11.7 Transitional arrangements

SUP 16.12 Integrated Regulatory Reporting

COLL 6.13 Record keeping

CASS 11.10 Payments to creditors

CASS 5.2 Holding money as agent of insurance undertaking

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

MCOB 9.9 Disclosure after sale: home reversion plans

LR 15.4 Continuing obligations

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

MCOB 5A.4 Provision of a European Standardised Information Sheet (ESIS)

PERG 7.7 Post-certification issues

SUP App 2.14A Fairness issues for with-profit firms in difficulty or in an irregular situation

CREDS 7.1 Application, purpose and interpretation

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

Cookies on the FCA Handbook Website

Search Result

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To