Search Result
COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
As Published: 2010
COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
…
CONC 2.3 Conduct of business: lenders and restrictions on provision of credit card cheques
As Published: 2014
CONC 2.3 Conduct of business: lenders and restrictions on provision of credit card cheques
…
CONC 8.10 Conduct of business: providing credit information services
As Published: 2014
CONC 8.10 Conduct of business: providing credit information services
…
SUP 15.12 Ongoing alerts for retail adviser complaints
As Published: 2015
SUP 15.12 Ongoing alerts for retail adviser complaints
…
MAR 5.7 Pre-trade transparency requirements for shares
As Published: 2007
MAR 5.7 Pre-trade transparency requirements for shares
…
COBS 4.10 Systems and controls and approving and communicating financial promotions
As Published: 2015
COBS 4.10 Systems and controls and approving and communicating financial promotions
…
DISP 1.5 Complaints resolved by close of the third business day
As Published: 2002
DISP 1.5 Complaints resolved by close of the third business day
…
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
…
CONC 11.2 Right of withdrawal: P2P agreements
As Published: 2015
CONC 11.2 Right of withdrawal: P2P agreements
…
CONC 3.10 Financial promotions not in writing
As Published: 2014
CONC 3.10 Financial promotions not in writing
…
DTR 2.5 Delaying disclosure of inside information
As Published: 2008
DTR 2.5 Delaying disclosure of inside information
…