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

…

PR App 1.1

As Published: 2005

PR App 1.1

…

MAR 7A.3 Requirements for algorithmic trading

As Published: 2017

MAR 7A.3 Requirements for algorithmic trading

…

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

As Published: 2007

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

…

COLL 4.7 Key investor information and marketing communications

As Published: 2011

COLL 4.7 Key investor information and marketing communications

…

REC 3.15 Suspension of services and inability to operate facilities

As Published: 2007

REC 3.15 Suspension of services and inability to operate facilities

…

BIPRU 1.1 Application

As Published: 2006

BIPRU 1.1 Application

…

MAR 5A.3 Specific requirements for OTFs

As Published: 2017

MAR 5A.3 Specific requirements for OTFs

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 10A.6 FCA governing functions

COBS 18.5 Residual CIS operators and small authorised UK AIFMs

DEPP 7.2 Interviews

PERG 5.11 Other aspects of exclusions

SYSC 18.6 Whistleblowing obligations under MiFID and other EU legislation

SUP 15.5 Core information requirements

ICOBS 1.1 The general application rule

MAR 10.5 Other reporting, notifications and information requirements

REC 3.14 Products, services and normal hours of operation

SUP 12.7 Notification requirements

SUP 11.4 Requirements on firms

SUP 15.14 Notifications under the Payment Services Regulations

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