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 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
…
COBS 2.2 Information disclosure before providing services (other than MiFID and insurance distribution)
As Published: 2008
COBS 2.2 Information disclosure before providing services (other than MiFID and insurance distribution)
…
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)
…
PERG 2.10 Persons carrying on regulated activities who do not need authorisation
As Published: 2006
PERG 2.10 Persons carrying on regulated activities who do not need authorisation
…
MCOB 1.2 General application: who? what?
As Published: 2005
MCOB 1.2 General application: who? what?
…
SUP 10C.11 Statements of responsibilities
As Published: 2015
SUP 10C.11 Statements of responsibilities
…
SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?
As Published: 2004
SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?
…
TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
…
TC App 4.1 Appropriate Qualification tables
As Published: 2010
TC App 4.1 Appropriate Qualification tables
…
- Previous page
- 1
- ..
- 33
- 34
- Next page