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

…

CASS 8.3 Records and internal controls

As Published: 2014

CASS 8.3 Records and internal controls

…

COLL 7.7 UCITS mergers

As Published: 2011

COLL 7.7 UCITS mergers

…

COBS 5.1 The distance marketing disclosure rules

As Published: 2007

COBS 5.1 The distance marketing disclosure rules

…

CASS 9.5 Reporting to clients on request

As Published: 2014

CASS 9.5 Reporting to clients on request

…

REC 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts

…

COLL 9.4 Facilities in the United Kingdom

As Published: 2011

COLL 9.4 Facilities in the United Kingdom

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

PRIN 3.3 Where?

CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators

COLL 8.5 Powers and responsibilities

ICOBS 4.2 Additional requirements for protection policies for insurance intermediaries and insurers

COBS 16.2 Occasional reporting

COBS 19.1 Pension transfers, conversions, and opt-outs

MIPRU 4.2BA Securitisation

MCOB 5A.5 Content of European Standardised Information Sheets (ESISs)

SYSC 1.4 Application of SYSC 11 to SYSC 22 and 28

EG 6.2 Publicity during, or upon the conclusion of regulatory action

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

MCOB 13.7 Business loans and loans to high net worth mortgage customers: tailored provisions

MCOB 7A.5 Notification of changes resulting from auctions on the capital market

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