Search Result
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 15.3 General notification requirements
As Published: 2004
SUP 15.3 General notification requirements
…
TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
…
COBS 2.2 Information disclosure before providing services (non-MiFID provisions)
As Published: 2008
COBS 2.2 Information disclosure before providing services (non-MiFID provisions)
…
COBS 21.2 Rules for firms engaged in linked long-term insurance business
As Published: 2015
COBS 21.2 Rules for firms engaged in linked long-term insurance business
…
COBS 2.1 Acting honestly, fairly and professionally
As Published: 2007
COBS 2.1 Acting honestly, fairly and professionally
…
CONC 7.17 Notice of sums in arrears under P2P agreements for fixed-sum credit
As Published: 2015
CONC 7.17 Notice of sums in arrears under P2P agreements for fixed-sum credit
…
CONC 6.7 Post contract: business practices
As Published: 2014
CONC 6.7 Post contract: business practices
…
REC 2.5 Systems and controls, algorithmic trading and conflicts
As Published: 2004
REC 2.5 Systems and controls, algorithmic trading and conflicts
…
COBS 10.5 Assessing appropriateness: guidance
As Published: 2007
COBS 10.5 Assessing appropriateness: guidance
…
MCOB 4.4A Initial disclosure requirements
As Published: 2012
MCOB 4.4A Initial disclosure requirements
…
COBS 8.1 Client agreements: non-MiFID designated investment business
As Published: 2007
COBS 8.1 Client agreements: non-MiFID designated investment business
…
COBS 19.6 Restriction on charges in qualifying schemes
As Published: 2015
COBS 19.6 Restriction on charges in qualifying schemes
…