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

…

PERG 8.36 Illustrative tables

As Published: 2005

PERG 8.36 Illustrative tables

…

COLL 6.8 Income: accounting, allocation and distribution

As Published: 2006

COLL 6.8 Income: accounting, allocation and distribution

…

EG 19.27 Alternative Investment Fund Managers Regulations 2013

As Published: 2016

EG 19.27 Alternative Investment Fund Managers Regulations 2013

…

SUP 13A.6 Which rules will an incoming EEA firm be subject to?

As Published: 2007

SUP 13A.6 Which rules will an incoming EEA firm be subject to?

…

PERG 13.6 CRD IV

As Published: 2007

PERG 13.6 CRD IV

…

SUP 16.3 General provisions on reporting

As Published: 2001

SUP 16.3 General provisions on reporting

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 3.10 Duties of auditors: notification and report on client assets

PRIN 3.2 What?

SUP 10A.9 Significant management functions

SYSC 19C.1 General application and purpose

CONC App 1.4 Exemption for high net worth borrowers and hirers and exemption relating to businesses

FEES 7.2 The CFEB levy

COLL 8.1 Introduction

PERG 5.4 The business test

MAR 5.3A Systems and controls for algorithmic trading

EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling

TC App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3

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

BIPRU 12.8 Cross-border and intra-group management of liquidity

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