Search Result
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
As Published: 2007
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
…
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)
…
PERG 11.2 Guidance on property investment clubs
As Published: 2013
PERG 11.2 Guidance on property investment clubs
…
COBS 10.2 Assessing appropriateness: the obligations
As Published: 2007
COBS 10.2 Assessing appropriateness: the obligations
…
BIPRU 12.8 Cross-border and intra-group management of liquidity
As Published: 2010
BIPRU 12.8 Cross-border and intra-group management of liquidity
…
PERG 8.31 Exclusions for advising on investments
As Published: 2007
PERG 8.31 Exclusions for advising on investments
…
SUP 16.3 General provisions on reporting
As Published: 2001
SUP 16.3 General provisions on reporting
…
PERG 5.16 Meaning of ‘insurance distribution’ and ‘reinsurance distribution’
As Published: 2018
PERG 5.16 Meaning of ‘insurance distribution’ and ‘reinsurance distribution’
…
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 18.11 Authorised professional firms
As Published: 2007
COBS 18.11 Authorised professional firms
…
BIPRU 2.2 Internal capital adequacy standards
As Published: 2006
BIPRU 2.2 Internal capital adequacy standards
…
BIPRU 8.3 Scope and basic consolidation requirements for non-UK sub-groups
As Published: 2006
BIPRU 8.3 Scope and basic consolidation requirements for non-UK sub-groups
…
TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
…