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EG 13.3 Petitions for administration orders or compulsory winding up orders: determining whether a company or partnership is unable to pay its debts

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DEPP 8.4 Use of the own-initiative variation of approval power in urgent cases

As Published: 2015

DEPP 8.4 Use of the own-initiative variation of approval power in urgent cases

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PERG 9.7 The investment condition: the 'reasonable investor'

As Published: 2005

PERG 9.7 The investment condition: the 'reasonable investor'

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EG 19.7 The Open-Ended Investment Companies Regulations 2001

As Published: 2016

EG 19.7 The Open-Ended Investment Companies Regulations 2001

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COBS 1.1 The general application rule

COBS 3.7 Providing clients with a higher level of protection

COBS 3.5 Professional clients

EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)

COBS 4.5 Communicating with retail clients

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

REC 3.24 Transfers of ownership

COBS 10.2 Assessing appropriateness: the obligations

COBS 3.6 Eligible counterparties

COBS 6.4 Disclosure of charges, remuneration and commission

COBS 16.3 Periodic reporting

CASS 12.2 Treatment of client money

COBS 20.4 Communications with with-profits policyholders

COBS 12.4 Investment recommendations

REC 2.8 Settlement and clearing facilitation services

REC 3.16 Information technology systems

EG 13.3 Petitions for administration orders or compulsory winding up orders: determining whether a company or partnership is unable to pay its debts

DEPP 8.4 Use of the own-initiative variation of approval power in urgent cases

PERG 9.7 The investment condition: the 'reasonable investor'

EG 19.7 The Open-Ended Investment Companies Regulations 2001