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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

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PERG 13.3 Investment Services and Activities

As Published: 2012

PERG 13.3 Investment Services and Activities

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COBS 4.7 Direct offer financial promotions

As Published: 2007

COBS 4.7 Direct offer financial promotions

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COBS 6.4 Disclosure of charges, remuneration and commission

As Published: 2007

COBS 6.4 Disclosure of charges, remuneration and commission

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COBS 18.3 Corporate finance business

COBS 6.1E Platform services: platform charges and using a platform service for advising

SUP 17.1 Application

COBS 9.4 Suitability reports

COBS 19.5 Independent governance committees (IGCs)

COBS 16.4 Statements of client designated investments or client money

COBS 21.2 Rules for firms engaged in linked long-term insurance business

COBS 9.5 Record keeping and retention periods for suitability records

COLL 5.2 General investment powers and limits for UCITS schemes

INSPRU 1.5 Internal-contagion risk

COBS 19.4 Open market options

COBS 6.1D Product provider requirements relating to consultancy charging and remuneration

COLL 4.5 Reports and accounts

CASS 7.10 Application and purpose

FEES 4.2 Obligation to pay periodic fees

COBS 2.4 Agent as client and reliance on others

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

PERG 13.3 Investment Services and Activities

COBS 4.7 Direct offer financial promotions

COBS 6.4 Disclosure of charges, remuneration and commission