Search Result
DEPP 8.3 Use of the own-initiative variation of approval power: specific examples
As Published: 2015
DEPP 8.3 Use of the own-initiative variation of approval power: specific examples
…
COBS 14.3 Information about designated investments (non-MiFID provisions)
As Published: 2007
COBS 14.3 Information about designated investments (non-MiFID provisions)
…
COBS 6.1E Platform services: platform charges and using a platform service for advising
As Published: 2011
COBS 6.1E Platform services: platform charges and using a platform service for advising
…
TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms
As Published: 2017
TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms
…
EG 4.14 Joint investigations with the PRA
As Published: 2016
EG 4.14 Joint investigations with the PRA
…
EG 9.2 The FCA’s general policy in this area
As Published: 2016
EG 9.2 The FCA’s general policy in this area
…
LR 5.4A Transfer between listing categories
As Published: 2009
LR 5.4A Transfer between listing categories
…
LR 17.5 Requirements for states, regional and local authorities and public international bodies
As Published: 2006
LR 17.5 Requirements for states, regional and local authorities and public international bodies
…
PERG 8.25 Advice must relate to an investment which is a security or contractually based investment
As Published: 2006
PERG 8.25 Advice must relate to an investment which is a security or contractually based investment
…
EG 4.11 Approach to interviews and interview procedures
As Published: 2016
EG 4.11 Approach to interviews and interview procedures
…
BIPRU 1.2 Definition of the trading book
As Published: 2010
BIPRU 1.2 Definition of the trading book
…
SUP 10A.15 References and accurate information
As Published: 2016
SUP 10A.15 References and accurate information
…
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
…