Search Result
SYSC 19E.2 Remuneration policies and practices
As Published: 2016
SYSC 19E.2 Remuneration policies and practices
…
PERG 9.6 The investment condition (section 236(3) of the Act): general
As Published: 2009
PERG 9.6 The investment condition (section 236(3) of the Act): general
…
PERG 5.5 The regulated activities: dealing in contracts as agent
As Published: 2005
PERG 5.5 The regulated activities: dealing in contracts as agent
…
COBS 6.1C Consultancy charging and remuneration
As Published: 2010
COBS 6.1C Consultancy charging and remuneration
…
FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)
As Published: 2006
FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)
…
REC 3.14 Products, services and normal hours of operation
As Published: 2007
REC 3.14 Products, services and normal hours of operation
…
CASS 1.2 General application: who? what?
As Published: 2003
CASS 1.2 General application: who? what?
…
COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products
As Published: 2007
COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products
…
PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
As Published: 2005
PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
…
SYSC 22.7 Getting references: additional rules and guidance for SMCR firms
As Published: 2016
SYSC 22.7 Getting references: additional rules and guidance for SMCR firms
…
PERG 2.4 Link between activities and the United Kingdom
As Published: 2007
PERG 2.4 Link between activities and the United Kingdom
…
IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS
As Published: 2015
IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS
…
PERG 13.3 Investment Services and Activities
As Published: 2012
PERG 13.3 Investment Services and Activities
…