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

…

COBS 10.5 Assessing appropriateness: guidance

As Published: 2007

COBS 10.5 Assessing appropriateness: guidance

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

REC 2.3 Financial resources

SUP 6.2 Introduction

COBS 16.3 Periodic reporting

DEPP 6.2 Deciding whether to take action

CASS 11.2 Firm classification

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

COLL 6.4 Title and registers

BIPRU 14.2 Calculation of the capital requirement for CCR

MAR 5A.5 Systems and controls for algorithmic trading

CONC 7.13 Data accuracy and outsourced activities

INSPRU 3.2 Derivatives in insurance

REC 3.14 Products, services and normal hours of operation

MCOB 14.1 Handbook provisions which apply in respect of MCD article 3(1)(b) credit agreements

CONC 7.17 Notice of sums in arrears under P2P agreements for fixed-sum credit

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

COBS 9.5 Record keeping and retention periods for suitability records

PERG 10.4 Pension scheme service providers other than trustees

MCOB 5.5 Provision of illustrations

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

COBS 10.5 Assessing appropriateness: guidance