Search Result

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

…

BIPRU 7.9 Use of a CAD 1 model

As Published: 2007

BIPRU 7.9 Use of a CAD 1 model

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

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

COLL 1.2 Types of authorised fund

PRIN 1.2 Clients and the Principles

MCOB 11.6 Responsible lending and financing

COLL 5.3 Derivative exposure

PERG 8.12 Exemptions applying to all controlled activities

SUP 15.3 General notification requirements

LR 8.6 Criteria for approval as a sponsor

COCON 4.1 Specific guidance on individual conduct rules

EG 14.2 Choice of powers

DTR 8.5 Supervision of primary information providers

COLL 6.8 Income: accounting, allocation and distribution

SUP 4.3 Appointment of actuaries

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)

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

REC 5.2 Application process

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

BIPRU 7.9 Use of a CAD 1 model