Search Result
DTR 2.5 Delaying disclosure of inside information
As Published: 2008
DTR 2.5 Delaying disclosure of inside information
…
REC 2.13 Promotion and maintenance of standards
As Published: 2004
REC 2.13 Promotion and maintenance of standards
…
COBS 4.5 Communicating with retail clients (non-MiFID provisions)
As Published: 2008
COBS 4.5 Communicating with retail clients (non-MiFID provisions)
…
EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act
As Published: 2016
EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act
…
COBS 3.7 Providing clients with a higher level of protection
As Published: 2017
COBS 3.7 Providing clients with a higher level of protection
…
MAR 10.5 Other reporting, notifications and information requirements
As Published: 2017
MAR 10.5 Other reporting, notifications and information requirements
…
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
As Published: 2010
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
…
PERG 2.10 Persons carrying on regulated activities who do not need authorisation
As Published: 2006
PERG 2.10 Persons carrying on regulated activities who do not need authorisation
…
MCOB 13.5 Dealing with a customer in arrears or with a sale shortfall on a regulated mortgage contract
As Published: 2006
MCOB 13.5 Dealing with a customer in arrears or with a sale shortfall on a regulated mortgage contract
…
PERG 15.4 Small payment institutions, agents and exempt bodies
As Published: 2011
PERG 15.4 Small payment institutions, agents and exempt bodies
…
REC 3.14 Products, services and normal hours of operation
As Published: 2007
REC 3.14 Products, services and normal hours of operation
…
EG 19.22 Decision making under the Payment Services Regulations
As Published: 2016
EG 19.22 Decision making under the Payment Services Regulations
…
EG 20.3 Decision making under the CCA Order
As Published: 2016
EG 20.3 Decision making under the CCA Order
…
PERG 2.4 Link between activities and the United Kingdom
As Published: 2007
PERG 2.4 Link between activities and the United Kingdom
…