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

…

SYSC 4.4 Apportionment of responsibilities

As Published: 2008

SYSC 4.4 Apportionment of responsibilities

…

COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

…

PERG 13.3 Investment Services and Activities

As Published: 2012

PERG 13.3 Investment Services and Activities

…

PERG 14.1 Background

As Published: 2006

PERG 14.1 Background

…

SYSC 3.2 Areas covered by systems and controls

As Published: 2002

SYSC 3.2 Areas covered by systems and controls

…

LR 9.2 Requirements with continuing application

As Published: 2006

LR 9.2 Requirements with continuing application

…

SYSC 4.7

As Published: 2015

SYSC 4.7

…

MCOB 1.2 General application: who? what?

As Published: 2005

MCOB 1.2 General application: who? what?

…

EG 12.3 Criminal prosecutions in cases of market abuse

As Published: 2016

EG 12.3 Criminal prosecutions in cases of market abuse

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

PERG 12.2 Establishing, operating or winding up a personal pension scheme

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

REC 6.1 Introduction and legal background

REC 6.2 Applications

PERG 12.3 Rights under a personal pension scheme

COND 2.7 Business model

REC 4.9 Disciplinary measures

EG 19.9 Electronic commerce activity directions: the FCA’s policy

PERG 4.14 Mortgage activities carried on by professional firms

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