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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

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EG 19.13 The Consumer Protection Co-operation Regulation26

As Published: 2016

EG 19.13 The Consumer Protection Co-operation Regulation26

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PERG 9.4 Collective investment scheme (section 235 of the Act)

As Published: 2011

PERG 9.4 Collective investment scheme (section 235 of the Act)

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REC 3.18 Membership

As Published: 2010

REC 3.18 Membership

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PERG 5.1 Application and purpose

As Published: 2018

PERG 5.1 Application and purpose

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PERG 8.11 Types of exemption under the Financial Promotion Order

As Published: 2005

PERG 8.11 Types of exemption under the Financial Promotion Order

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EG 7.1 The FCA’s use of sanctions

As Published: 2015

EG 7.1 The FCA’s use of sanctions

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SUP 10C.2 Purpose

EG 9.4 Prohibition orders against exempt persons and members of professional firms

SUP 8A.4 Notification of altered circumstances relating to directions or waivers

SUP 4.4 Appropriate actuaries

REC 6.8 Powers to supervise

EG 16.3 Applications under section 329(3) for variation or revocation of disapplication orders

SUP 1A.2 Introduction

EG 9.5 Prohibition orders against other individuals

EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act

EG 7.9 Suspensions of voting rights

DTR 8.3 Criteria for approval as a primary information provider

REC 3.7 Auditors

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

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