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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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FEES 11.2 Pensions guidance providers’ levy

As Published: 2015

FEES 11.2 Pensions guidance providers’ levy

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COLL 6.10 Senior personnel responsibilities

As Published: 2011

COLL 6.10 Senior personnel responsibilities

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GENPRU 3.1 Application

As Published: 2006

GENPRU 3.1 Application

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SUP 10C.15 Forms and other documents and how to submit them to the FCA

As Published: 2015

SUP 10C.15 Forms and other documents and how to submit them to the FCA

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Effective Period

Similar To

PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)

SYSC 4.2 Persons who effectively direct the business

PERG 13.3 Investment Services and Activities

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FEES App 1 Annex 1A Application Fees payable

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SUP 15.11 Notification of COCON breaches and disciplinary action

ICOBS 6A.1 Guaranteed asset protection (GAP) contracts

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

SUP 5.6 Confidential information and privilege

PERG 7.3 Does the activity require authorisation?

SUP 13.10 Applicable provisions

LR 8.2 When a sponsor must be appointed or its guidance obtained

EG 6.1 Publicity during FCA investigations

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