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

…

DISP 2.3 To which activities does the Compulsory Jurisdiction apply?

As Published: 2003

DISP 2.3 To which activities does the Compulsory Jurisdiction apply?

…

IFPRU 11.1 Application and purpose

As Published: 2015

IFPRU 11.1 Application and purpose

…

CREDS 9.2 Reporting

As Published: 2012

CREDS 9.2 Reporting

…

REC 3.14A Operation of a trading venue

As Published: 2007

REC 3.14A Operation of a trading venue

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

FEES App 1.2 Periodic Fees

PERG 5.7 The regulated activities: assisting in the administration and performance of a contract of insurance

CREDS 2.1 Application and purpose

SUP 11.6 Subsequent notification requirements by firms

REC 4.2B Exercise of passport rights by a UK RIE

MCOB 4.4A Initial disclosure requirements

PERG 9.7 The investment condition: the 'reasonable investor'

SUP 11.1 Application

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

PERG 13.1 Introduction

MCOB 6.9 Regulated sale and rent back agreements

FEES App 1 Annex 4 Glossary of definitions

EG 8.3 Use of the own-initiative powers in urgent cases

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

REC 3.14 Products, services and normal hours of operation

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