Search Result
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?
…
SUP 16.15 Reporting under the Electronic Money Regulations
As Published: 2011
SUP 16.15 Reporting under the Electronic Money Regulations
…
MAR 7A.3 Requirements for algorithmic trading
As Published: 2017
MAR 7A.3 Requirements for algorithmic trading
…
PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
As Published: 2005
PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
…
MCOB 13.3 Dealing fairly with customers with a payment shortfall: policy and procedures
As Published: 2006
MCOB 13.3 Dealing fairly with customers with a payment shortfall: policy and procedures
…
SUP 10A.8 Systems and controls functions
As Published: 2013
SUP 10A.8 Systems and controls functions
…
MCOB 9.5 Disclosure at the offer stage for equity release transactions
As Published: 2004
MCOB 9.5 Disclosure at the offer stage for equity release transactions
…
REC 4.2 The supervisory relationship with UK recognised bodies
As Published: 2007
REC 4.2 The supervisory relationship with UK recognised bodies
…