Search Result

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

…

PR App 3.1

As Published: 2005

PR App 3.1

…

ICOBS 3.2 E-Commerce

As Published: 2013

ICOBS 3.2 E-Commerce

…

REC 4.5 FCA supervision of action by UK RIEs under their default rules

As Published: 2013

REC 4.5 FCA supervision of action by UK RIEs under their default rules

…

REC 2.3 Financial resources

As Published: 2004

REC 2.3 Financial resources

…

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

As Published: 2011

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

…

SUP 15.14 Notifications under the Payment Services Regulations

As Published: 2018

SUP 15.14 Notifications under the Payment Services Regulations

…

SYSC 9.1 General rules on record-keeping

As Published: 2007

SYSC 9.1 General rules on record-keeping

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

SYSC 22.9 Records and transitionals

COBS 20.2 Treating with-profits policyholders fairly

CASS 6.7 Treatment of custody assets after a failure

CASS 11.10 Payments to creditors

COBS 11.2 Best execution for AIFMs and residual CIS operators

FEES 6.7 Payment of levies

SYSC 12.1 Application

BIPRU 12.6 Simplified ILAS

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

SUP 10C.14 Changes to an FCA-approved person’s details

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products