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EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

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SUP 11.2 Purpose

As Published: 2004

SUP 11.2 Purpose

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PERG 17.3 What the advice must be about

As Published: 2014

PERG 17.3 What the advice must be about

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SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?

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LR 6.14 Shares in public hands

As Published: 2017

LR 6.14 Shares in public hands

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Similar To

COBS 2.1 Acting honestly, fairly and professionally

SUP 3.3 Appointment of auditors

COBS 11.4 Client limit orders

COBS 6.1E Platform services: platform charges and using a platform service for advising

COBS 9.4 Suitability reports

COBS 20.1 Application

COBS 10.2 Assessing appropriateness: the obligations

CONC App 1.1 Total charge for credit rules for certain agreements secured on land

DISP App 3.6 Determining the effect of a breach or failing at step 1

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

COBS 19.6 Restriction on charges in qualifying schemes

COBS 15.5 Special situations

COBS 13.3 Contents of a key features document

PERG 5.14 Exemptions

PERG 8.3 Financial promotion

SUP 11.2 Purpose

PERG 17.3 What the advice must be about

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?

LR 6.14 Shares in public hands