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

…

LR App 1.1 Relevant definitions

As Published: 2005

LR App 1.1 Relevant definitions

…

MCOB 14.1 Handbook provisions which apply in respect of MCD article 3(1)(b) credit agreements

As Published: 2015

MCOB 14.1 Handbook provisions which apply in respect of MCD article 3(1)(b) credit agreements

…

SUP 13.1 Application and purpose

As Published: 2001

SUP 13.1 Application and purpose

…

EG 4.13 Preliminary findings letters and preliminary investigation reports

As Published: 2016

EG 4.13 Preliminary findings letters and preliminary investigation reports

…

EG 4.14 Joint investigations with the PRA

As Published: 2016

EG 4.14 Joint investigations with the PRA

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

ICOBS 3.2 E-Commerce

EG 7.1 The FCA’s use of sanctions

EG 2.5 Cases where other authorities have an interest

DEPP 3.1 The Regulatory Decisions Committee

SUP 13A.7 Top-up permission

BIPRU 12.3 Liquidity risk management

MCOB 13.3 Dealing fairly with customers with a payment shortfall: policy and procedures

REC 3.3 Waivers

COBS 2.3 Inducements

SUP 13.8 Changes of details: provision of notices to the appropriate UK regulator

EG 19.28 Legal Aid, Sentencing and Punishment of Offenders Act 2012 (Referral Fees) Regulations 2013

SUP 11.6 Subsequent notification requirements by firms

CONC App 1.4 Exemption for high net worth borrowers and hirers and exemption relating to businesses

MIPRU 4.2BA Securitisation

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