Search Result
REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
As Published: 2004
REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
…
COBS 13.5 Preparing product information: other projections
As Published: 2007
COBS 13.5 Preparing product information: other projections
…
SUP 10C.16 References and accurate information
As Published: 2016
SUP 10C.16 References and accurate information
…
MAR 8.3 Requirements for benchmark administrators
As Published: 2015
MAR 8.3 Requirements for benchmark administrators
…
COBS 10.2 Assessing appropriateness: the obligations
As Published: 2007
COBS 10.2 Assessing appropriateness: the obligations
…
SUP 15.7 Form and method of notification
As Published: 2002
SUP 15.7 Form and method of notification
…
SYSC 22.7 Getting references: additional rules and guidance for full scope regulatory reference firms
As Published: 2016
SYSC 22.7 Getting references: additional rules and guidance for full scope regulatory reference firms
…
COBS 4.5 Communicating with retail clients
As Published: 2008
COBS 4.5 Communicating with retail clients
…
SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements
As Published: 2001
SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements
…
COBS 10.5 Assessing appropriateness: guidance
As Published: 2007
COBS 10.5 Assessing appropriateness: guidance
…
COBS 22.3 Restrictions on the retail distribution of contingent convertible instruments and CoCo funds
As Published: 2015
COBS 22.3 Restrictions on the retail distribution of contingent convertible instruments and CoCo funds
…
MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements
As Published: 2009
MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements
…
SUP 10A.13 Application for approval and withdrawing an application for approval
As Published: 2015
SUP 10A.13 Application for approval and withdrawing an application for approval
…