Search Result
EG 15.3 Disqualification under section 345
As Published: 2016
EG 15.3 Disqualification under section 345
…
FEES 11.2 Pensions guidance providers’ levy
As Published: 2015
FEES 11.2 Pensions guidance providers’ levy
…
REC 6.1 Introduction and legal background
As Published: 2007
REC 6.1 Introduction and legal background
…
MAR 5.7 Pre-trade transparency requirements for shares
As Published: 2007
MAR 5.7 Pre-trade transparency requirements for shares
…
CASS 5.8 Safe keeping of client's documents and other assets
As Published: 2010
CASS 5.8 Safe keeping of client's documents and other assets
…
SUP 13A.6 Which rules will an incoming EEA firm be subject to?
As Published: 2007
SUP 13A.6 Which rules will an incoming EEA firm be subject to?
…
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
As Published: 2010
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
…
SYSC 4.4 Apportionment of responsibilities
As Published: 2008
SYSC 4.4 Apportionment of responsibilities
…
PERG 8.8 Having an effect in the United Kingdom
As Published: 2005
PERG 8.8 Having an effect in the United Kingdom
…
PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
As Published: 2012
PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
…
MAR 1.4 Market abuse (improper disclosure)
As Published: 2001
MAR 1.4 Market abuse (improper disclosure)
…
COBS 8.1 Client agreements: designated investment business
As Published: 2007
COBS 8.1 Client agreements: designated investment business
…
LR 8.2 When a sponsor must be appointed or its guidance obtained
As Published: 2007
LR 8.2 When a sponsor must be appointed or its guidance obtained
…