Search Result
COBS 6.1 Information about the firm and compensation information (non-MiFID provisions)
As Published: 2007
COBS 6.1 Information about the firm and compensation information (non-MiFID provisions)
…
COBS 9.6 Special rules for giving basic advice on a stakeholder product
As Published: 2007
COBS 9.6 Special rules for giving basic advice on a stakeholder product
…
COBS 10.2 Assessing appropriateness: the obligations
As Published: 2007
COBS 10.2 Assessing appropriateness: the obligations
…
SUP 11.7 Acquisition or increase of control: assessment process and criteria
As Published: 2004
SUP 11.7 Acquisition or increase of control: assessment process and criteria
…
PERG 16.2 What types of funds and businesses are caught?
As Published: 2013
PERG 16.2 What types of funds and businesses are caught?
…
CONC 5.5 Creditworthiness assessment: P2P agreements
As Published: 2015
CONC 5.5 Creditworthiness assessment: P2P agreements
…
PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
As Published: 2005
PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
…