Search Result
COBS 11.8 Recording telephone conversations and electronic communications [deleted]
As Published: 2008
COBS 11.8 Recording telephone conversations and electronic communications [deleted]
…
REC 3.22 Restriction of, or instruction to close out, open positions
As Published: 2011
REC 3.22 Restriction of, or instruction to close out, open positions
…
CASS 6.7 Treatment of custody assets after a failure
As Published: 2017
CASS 6.7 Treatment of custody assets after a failure
…
EG 5.7 The relevance of settled cases to subsequent action
As Published: 2016
EG 5.7 The relevance of settled cases to subsequent action
…
GEN 4.4 Business for retail clients from non-UK offices
As Published: 2004
GEN 4.4 Business for retail clients from non-UK offices
…
MCOB 1.5 Application to appointed representatives
As Published: 2004
MCOB 1.5 Application to appointed representatives
…
CONC 6.8 Post contract business practices: credit brokers
As Published: 2014
CONC 6.8 Post contract business practices: credit brokers
…
MAR 4.3 Support of the Takeover Panel's Functions
As Published: 2007
MAR 4.3 Support of the Takeover Panel's Functions
…
LR 8.2 When a sponsor must be appointed or its guidance obtained
As Published: 2007
LR 8.2 When a sponsor must be appointed or its guidance obtained
…
CASS 5.2 Holding money as agent of an insurance undertaking
As Published: 2004
CASS 5.2 Holding money as agent of an insurance undertaking
…
SUP 8A.5 Revoking or varying directions and determinations
As Published: 2014
SUP 8A.5 Revoking or varying directions and determinations
…
COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)
As Published: 2007
COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)
…
SUP 11.7 Acquisition or increase of control: assessment process and criteria
As Published: 2004
SUP 11.7 Acquisition or increase of control: assessment process and criteria
…