Search Result
REC 2A.4 Power and procedure for RAP penalties and censures
As Published: 2012
REC 2A.4 Power and procedure for RAP penalties and censures
…
PERG 8.21 Company statements, announcements and briefings
As Published: 2005
PERG 8.21 Company statements, announcements and briefings
…
PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance
As Published: 2018
PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance
…
PERG 8.12 Exemptions applying to all controlled activities
As Published: 2005
PERG 8.12 Exemptions applying to all controlled activities
…
CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank
As Published: 2014
CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank
…
TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
…
REC 4.7 The section 297 power to revoke recognition
As Published: 2007
REC 4.7 The section 297 power to revoke recognition
…
PERG 9.10 Significance of being an open-ended investment company
As Published: 2005
PERG 9.10 Significance of being an open-ended investment company
…
PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)
As Published: 2005
PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)
…
COCON 4.1 Specific guidance on individual conduct rules
As Published: 2015
COCON 4.1 Specific guidance on individual conduct rules
…