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.

Dealing and managing (COB Conduct of Business)

Legal Instruments that change this Chapter Dealing and managing

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Legal Instruments

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FSA2006/50 - Senior Management Arrangements, Systems and Controls (Markets in Financial Instruments and Capital Requirements Directives) Instrument 2006

Effective: 01/01/2007

FSA2006/28 - Personal Pension Schemes Instrument 2006

Effective: 06/04/2007

FSA2005/40 - Conduct of Business Sourcebook (Use of Dealing Commission) Instrument 2005

Effective: 01/01/2006

FSA2005/15 - Market Abuse Directive Instrument 2005

Effective: 01/07/2005

FSA2004/24 - Conflicts of Interest (Investment Research) Instrument 2004

Effective: 01/07/2004

FSA2003/70 - Conflicts of Interest (Corporate Finance and Investment Analysts) Instrument 2003

Effective: 01/02/2004

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