Search Result

COBS 18.5 Residual CIS operators and small authorised UK AIFMs

As Published: 2007

COBS 18.5 Residual CIS operators and small authorised UK AIFMs

…

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

As Published: 2015

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

…

CONC 7.11 Disclosures relating to “authority” or “status”

As Published: 2014

CONC 7.11 Disclosures relating to “authority” or “status”

…

FEES 8.1 [deleted]

As Published: 2013

FEES 8.1 [deleted]

…

REC 6.6 Supervision

As Published: 2013

REC 6.6 Supervision

…

CASS 9.3 Prime brokerage agreement disclosure annex

As Published: 2010

CASS 9.3 Prime brokerage agreement disclosure annex

…

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)

…

DISP 1.3 Complaints handling rules

As Published: 2003

DISP 1.3 Complaints handling rules

…

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

…

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

…

COLL 8.2 Constitution

As Published: 2007

COLL 8.2 Constitution

…

PERG 2.4 Link between activities and the United Kingdom

As Published: 2007

PERG 2.4 Link between activities and the United Kingdom

…

COCON 1.1 Application

As Published: 2015

COCON 1.1 Application

…

BIPRU 4.7 The IRB approach: Equity exposures

As Published: 2007

BIPRU 4.7 The IRB approach: Equity exposures

…

CASS 11.5 Organisational requirements

As Published: 2014

CASS 11.5 Organisational requirements

…

COBS 9.4 Suitability reports

As Published: 2007

COBS 9.4 Suitability reports

…

RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

…

CREDS 3A.4 Insurance against fraud or other dishonesty

As Published: 2016

CREDS 3A.4 Insurance against fraud or other dishonesty

…

COBS 4.10 Approving and confirming compliance of financial promotions

As Published: 2015

COBS 4.10 Approving and confirming compliance of financial promotions

…

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

As Published: 2001

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

…