Search Result
COBS 4.7 Direct offer financial promotions
As Published: 2007
COBS 4.7 Direct offer financial promotions
…
DEPP 6.5 Determining the appropriate level of financial penalty
As Published: 2008
DEPP 6.5 Determining the appropriate level of financial penalty
…
EG 3.10 Liaison where other authorities have an interest
As Published: 2016
EG 3.10 Liaison where other authorities have an interest
…
SYSC 21.1 Risk control: guidance on governance arrangements
As Published: 2010
SYSC 21.1 Risk control: guidance on governance arrangements
…
COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
As Published: 2007
COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
…
COBS 14.4 Provision of information by an intermediate Unitholder
As Published: 2011
COBS 14.4 Provision of information by an intermediate Unitholder
…
CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank
As Published: 2014
CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank
…
EG 3.4 Investigations into general and specific concerns (sections 167 and 168)
As Published: 2016
EG 3.4 Investigations into general and specific concerns (sections 167 and 168)
…
SUP 10A.9 Significant management functions
As Published: 2014
SUP 10A.9 Significant management functions
…
MAR 7A.4 Requirements when providing direct electronic access
As Published: 2017
MAR 7A.4 Requirements when providing direct electronic access
…
MAR 8.2 Requirements for benchmark submitters [deleted]
As Published: 2018
MAR 8.2 Requirements for benchmark submitters [deleted]
…