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

…

PERG 10.4 Pension scheme service providers other than trustees

As Published: 2006

PERG 10.4 Pension scheme service providers other than trustees

…

MAR 5.10 Operation of an SME growth market

As Published: 2017

MAR 5.10 Operation of an SME growth market

…

CASS 11.3 Responsibility for CASS operational oversight

As Published: 2015

CASS 11.3 Responsibility for CASS operational oversight

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

REC 5.2 Application process

IFPRU 8.1 Prudential consolidation

COBS 6.2A Describing advice services [deleted]

SUP 10A.10 Customer-dealing functions

REC 2.7A Position management and position reporting in relation to commodity derivatives

COBS 9.6 Special rules for giving basic advice on a stakeholder product

COLL 1.2 Types of authorised fund

INSPRU 1.5 Internal-contagion risk

GENPRU 3.1 Application

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

MAR 7A.4 Requirements when providing direct electronic access

COLL 12.1 Introduction

PERG 9.10 Significance of being an open-ended investment company

COLL Appendix 1EU KII Regulation

PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance

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

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

PERG 10.4 Pension scheme service providers other than trustees

MAR 5.10 Operation of an SME growth market

CASS 11.3 Responsibility for CASS operational oversight