Legal Instruments

Legal instruments shows a list of legal instruments that have been made by the PRA and published. They can be found on this page, or via the Bank of England’s Publications page.

Appropriateness (for non-advised services) (COBS Conduct of Business Sourcebook)

Legal Instruments that change this Chapter Appropriateness (for non-advised services)

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Legal Instruments

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FSA2008/40 - Senior Management Arrangements, Systems and Controls (Extension of Common Platform Provisions) Instrument 2008

Effective: 01/04/2009

FSA2007/58 - MiFID (Deferred Matters and Consequential Amendments) Instrument 2007

Effective: 01/11/2007

FCA2014/13 - Crowdfunding and the Promotion of Non-Readily Realisable Securities Instrument 2014

Effective: 01/04/2014

2007/33 - The Conduct of Business Sourcebook Instrument 2007

Effective: 01/11/2007

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