Search Result

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

…

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

As Published: 2010

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

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

LR 9.2 Requirements with continuing application

FEES 6.1 Application

REC 2.1 Introduction

IFPRU 3.2 Capital

PERG 13.4 Financial Instruments

SUP 10A.16 How to apply for approval and give notifications

FIT 1.3 Assessing fitness and propriety

COLL 4.2 Pre-sale notifications

SUP 15.4 Notified persons

COBS 19.7 Retirement risk warnings

ICOBS 3.2 E-Commerce

PERG 4.2 Introduction

PERG 8.17 Financial promotions concerning agreements for qualifying credit

DTR 8.5 Supervision of primary information providers

SUP 10C.5 FCA governing functions

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

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

INSPRU 8.2 Special provisions for Lloyd's

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

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