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

…

COBS 2.3 Inducements

As Published: 2007

COBS 2.3 Inducements

…

FEES 6.3 The FSCS's power to impose levies

As Published: 2006

FEES 6.3 The FSCS's power to impose levies

…

ICOBS 2.1 Client categorisation

As Published: 2007

ICOBS 2.1 Client categorisation

…

CASS 11.9 Segregation and the operation of client money accounts

As Published: 2014

CASS 11.9 Segregation and the operation of client money accounts

…

PERG 3A.4 Small electronic money institutions, mixed businesses, distributors, agents and exempt bodies

As Published: 2011

PERG 3A.4 Small electronic money institutions, mixed businesses, distributors, agents and exempt bodies

…

PERG 11.2 Guidance on property investment clubs

As Published: 2013

PERG 11.2 Guidance on property investment clubs

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

CASS 1A.2 CASS firm classification

LR 19.4 Continuing obligations

LR 13.5 Financial information in Class 1 Circulars

DTR 8.2 Approval as a primary information provider

REC 3.6 Constitution and governance

LR 5.4 Restoring listing

FEES 5.3 The general levy

LR 13.2 Approval of circulars

CASS 7.17 Statutory trust

CASS 7.11 Treatment of client money

PERG 14.5 The ‘by-way-of-business’ test

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

CASS 5.4 Non-statutory client money trust

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