Search Result

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

…

SYSC 22.5 Giving references: additional rules and guidance for all firms

As Published: 2016

SYSC 22.5 Giving references: additional rules and guidance for all firms

…

PERG 8.17 Financial promotions concerning agreements for qualifying credit

As Published: 2005

PERG 8.17 Financial promotions concerning agreements for qualifying credit

…

REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

…

CASS 11.11 Records, accounts and reconciliations

As Published: 2014

CASS 11.11 Records, accounts and reconciliations

…

SUP 4.5 Provisions applicable to all actuaries

As Published: 2004

SUP 4.5 Provisions applicable to all actuaries

…

PERG 4.11 Link between activities and the United Kingdom

As Published: 2007

PERG 4.11 Link between activities and the United Kingdom

…

SUP 10C.12 Conditional and time-limited approvals

As Published: 2015

SUP 10C.12 Conditional and time-limited approvals

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

CASS 7.11 Treatment of client money

REC 2.4A Management body

COCON 1.2 Investments

PERG 5.11 Other aspects of exclusions

BIPRU 2.2 Internal capital adequacy standards

SUP 6.2 Introduction

SYSC 22.7 Getting references: additional rules and guidance for SMCR firms

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

DISP 1.3 Complaints handling rules

CASS 1.2 General application: who? what?

FEES 6.7 Payment of levies

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