Search Result

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

…

LR 8.4 Role of a sponsor: transactions

As Published: 2007

LR 8.4 Role of a sponsor: transactions

…

COLL 4.2 Pre-sale notifications

As Published: 2006

COLL 4.2 Pre-sale notifications

…

PERG 8.21 Company statements, announcements and briefings

As Published: 2005

PERG 8.21 Company statements, announcements and briefings

…

COLL 12.2 UK UCITS management companies

As Published: 2016

COLL 12.2 UK UCITS management companies

…

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

As Published: 2007

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

EG 15.3 Disqualification under section 345

TC App 2.1 TCs Territorial Scope subject to the limitation in TC Appendix 3

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

EG 19.32 The Payment Accounts Regulations 2015

SUP 2.4 'Mystery shopping'

COLL 11.4 Depositaries

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

SUP 12.9 Record keeping

LR 9.6 Notifications

CONC 1.3 Guidance on financial difficulties

CONC 5.3 Conduct of business in relation to creditworthiness and affordability [deleted]

MAR 8.3 Requirements for benchmark administrators [deleted]

CONC 6.7 Post contract: business practices

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products