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

…

DISP 1.1 Purpose and application

As Published: 2001

DISP 1.1 Purpose and application

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

EG 2.2 Case selection and referral criteria

GENPRU 3.1 Application

COLL 12.2 UK UCITS management companies

CREDS 2.1 Application and purpose

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

IFPRU 4.5 Internal ratings based approach: definition of default

LR 10.5 Class 1 requirements

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

DTR 5.8 Procedures for the notification and disclosure of major holdings

FEES 5.8 Joining the Financial Ombudsman Service

EG 11.3 The FCA’s choice of powers

COLL 7.5 Schemes or sub-funds that are not commercially viable

SUP 16.22 Reporting under the Payment Accounts Regulations

FEES 6.4 Management expenses

DEPP 6.4 Financial penalty or public censure

MCOB 2.8 Record keeping

MCOB 6.3 General

COLL 9.3 Section 272 recognised schemes

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

DISP 1.1 Purpose and application