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COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

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SUP 18.1 Application

As Published: 2001

SUP 18.1 Application

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REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

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REC 2.14 Rules and consultation

As Published: 2004

REC 2.14 Rules and consultation

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ICOBS 8.4 Employers’ Liability Insurance

As Published: 2011

ICOBS 8.4 Employers’ Liability Insurance

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EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

As Published: 2016

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

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CONC 2.7 Distance marketing

As Published: 2014

CONC 2.7 Distance marketing

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ICOBS 6.4 Pre- and post-contract information: protection policies

As Published: 2015

ICOBS 6.4 Pre- and post-contract information: protection policies

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MCOB 4.11 Sale and rent back: advising and selling standards

PERG 4.8 Administering a regulated mortgage contract

PERG 8.21 Company statements, announcements and briefings

LR 19.2 Requirements for listing

COLL 12.3 EEA UCITS management companies

SUP 13.7 Changes to cross border services

COLL 12.4 UCITS product passport

SUP 16.17 Remuneration reporting

COLL 11.6 Winding up, merger and division of master UCITS

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

SYSC 4.2 Persons who effectively direct the business

EG 19.27 Alternative Investment Fund Managers Regulations 2013

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration