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DTR 5.8 Procedures for the notification and disclosure of major holdings
As Published: 2007
DTR 5.8 Procedures for the notification and disclosure of major holdings
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PERG 7.3 Does the activity require authorisation?
As Published: 2006
PERG 7.3 Does the activity require authorisation?
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COBS 4.9 Financial promotions with an overseas element
As Published: 2007
COBS 4.9 Financial promotions with an overseas element
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BIPRU 3.7 Classification of off-balance-sheet items
As Published: 2007
BIPRU 3.7 Classification of off-balance-sheet items
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TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms
As Published: 2017
TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms
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FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
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FEES App 1 Annex 4 Glossary of definitions
As Published: 2012
FEES App 1 Annex 4 Glossary of definitions
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EG 2.2 Case selection and referral criteria
As Published: 2015
EG 2.2 Case selection and referral criteria
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BIPRU 11.6 Qualifying requirements for the use of particular instruments or methodologies
As Published: 2007
BIPRU 11.6 Qualifying requirements for the use of particular instruments or methodologies
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MIPRU 3.2 Professional indemnity insurance requirements
As Published: 2006
MIPRU 3.2 Professional indemnity insurance requirements
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