Search Result
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order
…
COBS 6.1C Consultancy charging and remuneration
As Published: 2010
COBS 6.1C Consultancy charging and remuneration
…
REC 2.8 Settlement and clearing facilitation services
As Published: 2004
REC 2.8 Settlement and clearing facilitation services
…
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)
…
PERG 16.2 What types of funds and businesses are caught?
As Published: 2013
PERG 16.2 What types of funds and businesses are caught?
…
DEPP 8.5 Effects of a breach of condition or time limitation
As Published: 2015
DEPP 8.5 Effects of a breach of condition or time limitation
…
CASS 1.4 Application: particular activities
As Published: 2007
CASS 1.4 Application: particular activities
…
SUP 10A.8 Systems and controls functions
As Published: 2013
SUP 10A.8 Systems and controls functions
…
SUP App 2.14A Fairness issues for with-profit firms in difficulty or in an irregular situation
As Published: 2015
SUP App 2.14A Fairness issues for with-profit firms in difficulty or in an irregular situation
…