Search Result
PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
As Published: 2005
PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
…
COLL 6.12 Risk management policy and risk measurement
As Published: 2011
COLL 6.12 Risk management policy and risk measurement
…
COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
As Published: 2005
COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
…
COBS 3.8 Policies, procedures and records
As Published: 2007
COBS 3.8 Policies, procedures and records
…
PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
As Published: 2012
PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
…
REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
As Published: 2004
REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
…
MCOB 4.10 Home purchase plans: sales standards
As Published: 2006
MCOB 4.10 Home purchase plans: sales standards
…
COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes
As Published: 2011
COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes
…
COBS 18.11 Authorised professional firms
As Published: 2007
COBS 18.11 Authorised professional firms
…
COBS 10.4 Assessing appropriateness: when it need not be done
As Published: 2017
COBS 10.4 Assessing appropriateness: when it need not be done
…
LR 4.2 Contents and format of listing particulars
As Published: 2012
LR 4.2 Contents and format of listing particulars
…
LR 9.2 Requirements with continuing application
As Published: 2006
LR 9.2 Requirements with continuing application
…