Search Result

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

…

EG 11.2 Criteria for determining whether to exercise powers to obtain restitution

As Published: 2016

EG 11.2 Criteria for determining whether to exercise powers to obtain restitution

…

PERG 6.3 Background

As Published: 2005

PERG 6.3 Background

…

MCOB 4.8A Execution-only sales

As Published: 2012

MCOB 4.8A Execution-only sales

…

LR 13.8 Other circulars

As Published: 2007

LR 13.8 Other circulars

…

DEPP 6A.3A Determining the appropriate length of the period of limitation for approvals under section 59 of the Act

As Published: 2015

DEPP 6A.3A Determining the appropriate length of the period of limitation for approvals under section 59 of the Act

…

EG 8.1 Introduction

As Published: 2016

EG 8.1 Introduction

…

REC 3.9 Fees and incentive schemes

As Published: 2013

REC 3.9 Fees and incentive schemes

…

MAR 5A.11 Post-trade transparency requirements for non-equity instruments: form of deferral

As Published: 2017

MAR 5A.11 Post-trade transparency requirements for non-equity instruments: form of deferral

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

LR 19.1 Application

ICOBS 6.3 Pre- and post-contract information: pure protection contracts

REC 2.13 Promotion and maintenance of standards

REC 2.4 Suitability

REC 2.14 Rules and consultation

CASS 9.2 Prime broker's daily report to clients

CONC 4.3 Pre-contractual requirements and adequate explanations: P2P agreements

PR 1.1 Preliminary

CASS 11.6 Statutory trust

CASS 10.3 Existing records forming part of the CASS resolution pack

CREDS App 1.1 Key Definitions