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PERG 8.11 Types of exemption under the Financial Promotion Order
As Published: 2005
PERG 8.11 Types of exemption under the Financial Promotion Order
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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?
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FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
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CONC 4.3 Pre-contractual requirements and adequate explanations: P2P agreements
As Published: 2015
CONC 4.3 Pre-contractual requirements and adequate explanations: P2P agreements
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EG 4.14 Joint investigations with the PRA
As Published: 2016
EG 4.14 Joint investigations with the PRA
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COBS 13.1 The obligation to prepare product information
As Published: 2007
COBS 13.1 The obligation to prepare product information
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COBS 13.2 Product information: production standards, form and contents
As Published: 2007
COBS 13.2 Product information: production standards, form and contents
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COBS 4.2 Fair, clear and not misleading communications
As Published: 2007
COBS 4.2 Fair, clear and not misleading communications
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COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes
As Published: 2011
COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes
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BIPRU 3.7 Classification of off-balance-sheet items
As Published: 2007
BIPRU 3.7 Classification of off-balance-sheet items
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LR 12.5 Purchase of own securities other than equity shares
As Published: 2007
LR 12.5 Purchase of own securities other than equity shares
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EG 4.11 Approach to interviews and interview procedures
As Published: 2016
EG 4.11 Approach to interviews and interview procedures
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DTR 8.2 Approval as a primary information provider
As Published: 2014
DTR 8.2 Approval as a primary information provider
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