Search Result
COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)
As Published: 2007
COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)
…
CONC 4.2 Pre-contract disclosure and adequate explanations
As Published: 2014
CONC 4.2 Pre-contract disclosure and adequate explanations
…
LR 6.2 Historical financial information requirements
As Published: 2017
LR 6.2 Historical financial information requirements
…
SUP 5.3 Policy on the use of skilled persons
As Published: 2005
SUP 5.3 Policy on the use of skilled persons
…
SUP 11.3 Requirements on controllers or proposed controllers under the Act
As Published: 2001
SUP 11.3 Requirements on controllers or proposed controllers under the Act
…
SYSC 22.7 Getting references: additional rules and guidance for SMCR firms
As Published: 2016
SYSC 22.7 Getting references: additional rules and guidance for SMCR firms
…
CONC 7.6 Exercise of continuous payment authority
As Published: 2014
CONC 7.6 Exercise of continuous payment authority
…
LR 6.10 Specialist companies: mineral companies
As Published: 2017
LR 6.10 Specialist companies: mineral companies
…
CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments
As Published: 2016
CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments
…
LR 6.3 Revenue earning track record requirement
As Published: 2017
LR 6.3 Revenue earning track record requirement
…
CASS 1A.3 Responsibility for CASS operational oversight
As Published: 2010
CASS 1A.3 Responsibility for CASS operational oversight
…
CASS 11.3 Responsibility for CASS operational oversight
As Published: 2015
CASS 11.3 Responsibility for CASS operational oversight
…