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

…

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SYSC 4.6 Management responsibilities maps for non-UK relevant authorised persons

GEN 4.1 Application

PERG 13.3 Investment Services and Activities

PERG 13.1 Introduction

SUP 12.5 Contracts: required terms

PERG 8.1 Application and purpose

PERG 8.23 Regulated activities

MAR 5A.8 Reporting requirements

MAR 7A.2 Purpose

MAR 5A.9 Suspension and removal of financial instruments

MAR 6.3A Quality of execution

MAR 6.2 Purpose

MAR 7A.5 Requirements when acting as a general clearing member

CASS 7.12 Organisational requirements: client money

MAR 5A.6 Finalisation of transactions

MAR 5A.7 Monitoring compliance with the rules of the OTF

DISP 2.3 To which activities does the Compulsory Jurisdiction apply?

REC 6.3 Recognition requirements

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

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes