Search Result
COBS 8.1 Client agreements: non-MiFID designated investment business
As Published: 2007
COBS 8.1 Client agreements: non-MiFID designated investment business
…
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)
…
EG 2.15 Decision making in the context of regulatory enforcement action
As Published: 2016
EG 2.15 Decision making in the context of regulatory enforcement action
…
EG 20.2 Information gathering and investigation powers
As Published: 2016
EG 20.2 Information gathering and investigation powers
…
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
…
CONC 2.2 General principles for credit-related regulated activities
As Published: 2015
CONC 2.2 General principles for credit-related regulated activities
…
MIPRU 2.2 Allocation of the responsibility for insurance distribution activity or MCD credit intermediation activity
As Published: 2007
MIPRU 2.2 Allocation of the responsibility for insurance distribution activity or MCD credit intermediation activity
…
EG 13.2 The FCA’s general approach to use of its powers and rights in insolvency proceedings
As Published: 2016
EG 13.2 The FCA’s general approach to use of its powers and rights in insolvency proceedings
…
CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators
As Published: 2018
CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators
…
MAR 7A.4 Requirements when providing direct electronic access
As Published: 2017
MAR 7A.4 Requirements when providing direct electronic access
…
EG 4.14 Joint investigations with the PRA
As Published: 2016
EG 4.14 Joint investigations with the PRA
…
COBS 11.2 Best execution for AIFMs and residual CIS operators
As Published: 2007
COBS 11.2 Best execution for AIFMs and residual CIS operators
…