Search Result
EG 19.21 The conduct of investigations under the Payment Services Regulations
As Published: 2016
EG 19.21 The conduct of investigations under the Payment Services Regulations
…
EG 9.2 The FCA’s general policy in this area
As Published: 2016
EG 9.2 The FCA’s general policy in this area
…
EG 19.7 The Open-Ended Investment Companies Regulations 2001
As Published: 2016
EG 19.7 The Open-Ended Investment Companies Regulations 2001
…
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
…
RCB 4.2 Enforcement powers and penalties
As Published: 2010
RCB 4.2 Enforcement powers and penalties
…
PR 2.3 Minimum information to be included in a prospectus
As Published: 2007
PR 2.3 Minimum information to be included in a prospectus
…
CASS 7.14 Client money held by a third party
As Published: 2015
CASS 7.14 Client money held by a third party
…
COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS
As Published: 2017
COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS
…
INSPRU 8.2 Special provisions for Lloyd's
As Published: 2009
INSPRU 8.2 Special provisions for Lloyd's
…
DTR 5.8 Procedures for the notification and disclosure of major holdings
As Published: 2007
DTR 5.8 Procedures for the notification and disclosure of major holdings
…
PERG 8.19 Additional restriction on the promotion of life policies
As Published: 2009
PERG 8.19 Additional restriction on the promotion of life policies
…
SUP 16.22 Reporting under the Payment Accounts Regulations
As Published: 2016
SUP 16.22 Reporting under the Payment Accounts Regulations
…
PERG 9.7 The investment condition: the 'reasonable investor'
As Published: 2005
PERG 9.7 The investment condition: the 'reasonable investor'
…
EG 3.2 Information requests (section 165)
As Published: 2016
EG 3.2 Information requests (section 165)
…
EG 3.2A Information requests (section 122A)
As Published: 2016
EG 3.2A Information requests (section 122A)
…
EG 3.2B Information requests (section 122B)
As Published: 2016
EG 3.2B Information requests (section 122B)
…