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 4.5

As Published: 2015

SYSC 4.5

…

SUP 16.13 Reporting under the Payment Services Regulations

As Published: 2010

SUP 16.13 Reporting under the Payment Services Regulations

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 16.9 Appointed representatives annual report

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

PERG 7.7 Post-certification issues

PERG 8.11 Types of exemption under the Financial Promotion Order

SYSC 19D.1 Application and purpose

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

FIT 2.1 Honesty, integrity and reputation

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

DEPP 6.5 Determining the appropriate level of financial penalty

CREDS App 1.1 Key Definitions

EG 13.4 Petitions for administration orders or compulsory winding up orders: determining whether to seek any insolvency order

SYSC 6.3 Financial crime

IFPRU 11.7 Notifications

COLL 11.4 Depositaries

PERG 5.11 Other aspects of exclusions

LR App 1.1 Relevant definitions

BIPRU 12.2 Adequacy of liquidity resources

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