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PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)
As Published: 2005
PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)
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MIPRU 2.2 Allocation of the responsibility for insurance distribution activity or MCD credit intermediation activity
As Published: 2007
MIPRU 2.2 Allocation of the responsibility for insurance distribution activity or MCD credit intermediation activity
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PERG 4.8 Administering a regulated mortgage contract
As Published: 2008
PERG 4.8 Administering a regulated mortgage contract
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MAR 5A.5 Systems and controls for algorithmic trading
As Published: 2017
MAR 5A.5 Systems and controls for algorithmic trading
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CREDS 7.2 General requirements concerning lending policy
As Published: 2012
CREDS 7.2 General requirements concerning lending policy
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DISP 1.1A Complaints handling requirements for MiFID complaints
As Published: 2017
DISP 1.1A Complaints handling requirements for MiFID complaints
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FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
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FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
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DEPP 6A.3 Determining the appropriate length of the period of suspension, restriction, condition or disciplinary prohibition
As Published: 2011
DEPP 6A.3 Determining the appropriate length of the period of suspension, restriction, condition or disciplinary prohibition
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SUP 10A.15 References and accurate information
As Published: 2016
SUP 10A.15 References and accurate information
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EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling
As Published: 2016
EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling
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SUP 10C.12 Conditional and time-limited approvals
As Published: 2015
SUP 10C.12 Conditional and time-limited approvals
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