Search Result
DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures
As Published: 2013
DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures
…
REC 2.8 Settlement and clearing facilitation services
As Published: 2004
REC 2.8 Settlement and clearing facilitation services
…
COLL 6.6A Duties of AFMs in relation to UCITS schemes
As Published: 2011
COLL 6.6A Duties of AFMs in relation to UCITS schemes
…
CONC 4.6 Pre-contract disclosure: continuous payment authorities
As Published: 2015
CONC 4.6 Pre-contract disclosure: continuous payment authorities
…
COLL 9.1 Application and general information
As Published: 2024
COLL 9.1 Application and general information
…
EG 19.4 Unfair Terms in Consumer Contracts Regulations 1999
As Published: 2016
EG 19.4 Unfair Terms in Consumer Contracts Regulations 1999
…
MAR 7A.5 Requirements when acting as a general clearing member
As Published: 2017
MAR 7A.5 Requirements when acting as a general clearing member
…
EG 7.4 Apportionment of financial penalties
As Published: 2016
EG 7.4 Apportionment of financial penalties
…
EG 6.7 Behaviour in the context of takeover bid
As Published: 2016
EG 6.7 Behaviour in the context of takeover bid
…
BIPRU 13.8 Securities financing transactions
As Published: 2006
BIPRU 13.8 Securities financing transactions
…
FEES App 1 Annex 1 Periodic fees payable for the period 1 April 2018 to 31 March 2019 [deleted]
As Published: 2013
FEES App 1 Annex 1 Periodic fees payable for the period 1 April 2018 to 31 March 2019 [deleted]
…
COBS 16.5 Quotations for surrender values
As Published: 2007
COBS 16.5 Quotations for surrender values
…
EG 6.8 The Financial Services register: publication of prohibitions of individuals (see chapter 9)
As Published: 2016
EG 6.8 The Financial Services register: publication of prohibitions of individuals (see chapter 9)
…
IPRU-INV 5 App 1 Glossary of terms for IPRU-INV 5
As Published: 2016
IPRU-INV 5 App 1 Glossary of terms for IPRU-INV 5
…
COBS 2.1 Acting honestly, fairly and professionally
As Published: 2007
COBS 2.1 Acting honestly, fairly and professionally
…