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REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

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FEES 4.2 Obligation to pay periodic fees

As Published: 2006

FEES 4.2 Obligation to pay periodic fees

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PERG 13.3 Investment Services and Activities

As Published: 2012

PERG 13.3 Investment Services and Activities

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COBS 6.1D Product provider requirements relating to consultancy charging and remuneration

As Published: 2011

COBS 6.1D Product provider requirements relating to consultancy charging and remuneration

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CASS 7A.2 Primary pooling events

As Published: 2012

CASS 7A.2 Primary pooling events

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COBS 2.4 Agent as client and reliance on others

As Published: 2007

COBS 2.4 Agent as client and reliance on others

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SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order

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Similar To

COBS 3.1 Application

SUP 17.1 Application

COBS 18.3 Corporate finance business

COLL 5.2 General investment powers and limits for UCITS schemes

COBS 9.4 Suitability reports

INSPRU 1.5 Internal-contagion risk

COBS 6.1E Platform services: platform charges and using a platform service for advising

COLL 4.5 Reports and accounts

COBS 19.5 Independent governance committees (IGCs)

COBS 9.5 Record keeping and retention periods for suitability records

COBS 16.4 Statements of client designated investments or client money

COBS 21.2 Rules for firms engaged in linked long-term insurance business

CASS 7.10 Application and purpose

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading