Search Result

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

…

IPRU-INV 13.1A FINANCIAL RESOURCES REQUIREMENTS FOR AN EXEMPT CAD FIRM

As Published: 2010

IPRU-INV 13.1A FINANCIAL RESOURCES REQUIREMENTS FOR AN EXEMPT CAD FIRM

…

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

…

PR App 1.1

As Published: 2005

PR App 1.1

…

BIPRU 4.3 The IRB approach: Provisions common to different exposure classes

As Published: 2006

BIPRU 4.3 The IRB approach: Provisions common to different exposure classes

…

IFPRU 1.1 Application and Purpose

As Published: 2014

IFPRU 1.1 Application and Purpose

…

EG 2.3 Case selection: Threshold Conditions cases

As Published: 2016

EG 2.3 Case selection: Threshold Conditions cases

…

REC 2.16A Operation of a multilateral trading facility

As Published: 2007

REC 2.16A Operation of a multilateral trading facility

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 14.6 Cancelling qualification for authorisation

EG 19.27 Alternative Investment Fund Managers Regulations 2013

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

COBS 14.2 Providing product information to clients

PERG 13.6 CRD IV

PERG 8.21 Company statements, announcements and briefings

BIPRU 7.10 Use of a Value at Risk Model

SUP 16.3 General provisions on reporting

TC 2.1 Assessing and maintaining competence

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

GEN 1.3 Emergency

DISP 1.3 Complaints handling rules

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