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

…

PERG 17.7 Examples

As Published: 2014

PERG 17.7 Examples

…

IPRU-INV 9.2 GENERAL REQUIREMENTS

As Published: 2015

IPRU-INV 9.2 GENERAL REQUIREMENTS

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

LR 2.2 Requirements for all securities

REC 4.5 FCA supervision of action by UK RIEs under their default rules

SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent

REC 6.7 Notification rules for overseas recognised bodies

FEES 6.4 Management expenses

LR 10.5 Class 1 requirements

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

DTR 5.8 Procedures for the notification and disclosure of major holdings

EG 11.3 The FCA’s choice of powers

DTR 6.1 Information requirements for issuers of shares and debt securities

COLL 7.5 Schemes or sub-funds that are not commercially viable

PERG 7.5 When is it appropriate to apply for a certificate?

SUP 16.22 Reporting under the Payment Accounts Regulations

DEPP 6.4 Financial penalty or public censure

MCOB 2.8 Record keeping

FEES 5.8 Joining the Financial Ombudsman Service

COLL Appendix 1EU KII Regulation

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

PERG 17.7 Examples

IPRU-INV 9.2 GENERAL REQUIREMENTS