Search Result
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
…
PERG 1.4 General guidance to be found in PERG
As Published: 2006
PERG 1.4 General guidance to be found in PERG
…
COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
As Published: 2010
COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
…
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
As Published: 2004
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
…
COBS 19.1 Pension transfers, conversions, and opt-outs
As Published: 2007
COBS 19.1 Pension transfers, conversions, and opt-outs
…
PERG 5.8 The regulated activities: advising on contracts of insurance
As Published: 2013
PERG 5.8 The regulated activities: advising on contracts of insurance
…
SUP 6.4 Applications for cancellation of permission
As Published: 2004
SUP 6.4 Applications for cancellation of permission
…
PERG 4.6 Advising on regulated mortgage contracts
As Published: 2006
PERG 4.6 Advising on regulated mortgage contracts
…
LR 4.2 Contents and format of listing particulars
As Published: 2012
LR 4.2 Contents and format of listing particulars
…
PERG 14.4A Activities relating to regulated sale and rent back agreements
As Published: 2010
PERG 14.4A Activities relating to regulated sale and rent back agreements
…
PR 2.3 Minimum information to be included in a prospectus
As Published: 2007
PR 2.3 Minimum information to be included in a prospectus
…