Search Result

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

…

MAR 1.1 Application and interpretation

As Published: 2002

MAR 1.1 Application and interpretation

…

SYSC 22.2 Getting, giving and updating references: the main rules

As Published: 2016

SYSC 22.2 Getting, giving and updating references: the main rules

…

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

…

GEN 5.1 Application and purpose

As Published: 2003

GEN 5.1 Application and purpose

…

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

…

CREDS 8.3 Approved persons

As Published: 2012

CREDS 8.3 Approved persons

…

MAR 10.1 Application

As Published: 2017

MAR 10.1 Application

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

REC 4.2E Information: compliance of UK recognised bodies with specified requirements

PERG 16.4 Acting as a depositary of an AIF

EG 10.1 Introduction

REC 6.8 Powers to supervise

EG 13.1 Introduction

REC 3.24 Transfers of ownership

EG 13.4 Petitions for administration orders or compulsory winding up orders: determining whether to seek any insolvency order

EG 7.2 Alternatives to sanctions

EG 19.20 Payment Services Regulations 2017

FEES 13.1 Application and purpose

PERG 13.3 Investment Services and Activities

CONC 11.1 The right to cancel

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