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

…

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

As Published: 2013

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

…

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

BIPRU 4.6 The IRB approach: Retail exposures

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

EG 12.1 The FCA’s general approach

PERG 13.6 CRD IV

PERG 8.21 Company statements, announcements and briefings

REC 3.14A Operation of a trading venue

GEN 1.3 Emergency

SUP 10C.10 Application for approval and withdrawing an application for approval

EG 19.27 Alternative Investment Fund Managers Regulations 2013

IPRU-INV 13.1A Capital resources and professional indemnity insurance requirements for an exempt CAD firm

SUP 14.6 Cancelling qualification for authorisation

EG 2.3 Case selection: Threshold Conditions cases

TC 2.1 Assessing and maintaining competence

BIPRU 7.10 Use of a Value at Risk Model

SUP 16.3 General provisions on reporting

PR App 1.1

IFPRU 1.1 Application and Purpose

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

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

DTR 5.4 Aggregation of managed holdings