Search Result
PERG 5.5 The regulated activities: dealing in contracts as agent
As Published: 2005
PERG 5.5 The regulated activities: dealing in contracts as agent
…
REC 6A.1 Exercise of passport rights by EEA market operator
As Published: 2007
REC 6A.1 Exercise of passport rights by EEA market operator
…
SUP 15.14 Notifications under the Payment Services Regulations
As Published: 2018
SUP 15.14 Notifications under the Payment Services Regulations
…
COBS 9.5 Record keeping and retention periods for suitability records
As Published: 2007
COBS 9.5 Record keeping and retention periods for suitability records
…
COBS 19.3 Product disclosure to members of occupational pension schemes
As Published: 2007
COBS 19.3 Product disclosure to members of occupational pension schemes
…
BIPRU 5.5 Other funded credit risk mitigation
As Published: 2010
BIPRU 5.5 Other funded credit risk mitigation
…
CASS 9.4 Information to clients concerning custody assets and client money
As Published: 2014
CASS 9.4 Information to clients concerning custody assets and client money
…
IPRU-INV 9.3 CALCULATING INITIAL CAPITAL
As Published: 2015
IPRU-INV 9.3 CALCULATING INITIAL CAPITAL
…
CASS 9.5 Reporting to clients on request
As Published: 2014
CASS 9.5 Reporting to clients on request
…
REC 2.12 Availability of relevant information and admission of financial instruments to trading
As Published: 2004
REC 2.12 Availability of relevant information and admission of financial instruments to trading
…
DTR 5.8 Procedures for the notification and disclosure of major holdings
As Published: 2007
DTR 5.8 Procedures for the notification and disclosure of major holdings
…