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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

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LR 15.3 Listing applications and procedures

As Published: 2010

LR 15.3 Listing applications and procedures

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IPRU-INV 5.10 Expenditure based requirement

As Published: 2016

IPRU-INV 5.10 Expenditure based requirement

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MCOB 1.2 General application: who? what?

As Published: 2005

MCOB 1.2 General application: who? what?

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Similar To

EG 7.2 Alternatives to sanctions

LR 14.2 Requirements for listing

EG 4.6 What a subject of investigation can say to third parties

SUP 1A.3 The FCA's approach to supervision

EG 12.1 The FCA’s general approach

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order

SUP 10C.9 Minimising overlap with the PRA approved persons regime

SUP 12.7 Notification requirements

GENPRU 3.1 Application

SUP 8.4 Reliance on waivers

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

EG 7.9 Suspensions of voting rights

PERG 8.7 Engage in investment activity

LR 10.1 Preliminary

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