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

…

SUP 15A.1 Application and notifications under EMIR

As Published: 2013

SUP 15A.1 Application and notifications under EMIR

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COBS 4.5 Communicating with retail clients (non-MiFID provisions)

IPRU-INV 12.3 CALCULATION OF FINANCIAL RESOURCES

PERG 5.9 The Regulated Activities: agreeing to carry on a regulated activity

FEES 2.2 Late Payments and Recovery of Unpaid Fees

SYSC 3.1 Systems and controls

COBS 15.3 Exercising a right to cancel

BIPRU 5.4 Financial collateral

CASS 3.1 Application and Purpose

BIPRU 13.3 Calculation of exposure values for financial derivatives and long settlement transactions: General provisions

PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)

LR 10.7 Transactions by specialist companies

CONC 13.1 Application

DISP 4.2 Standard terms

SYSC 18.1 Application and purpose

COBS 18.6 Lloyd's

MAR 10.4 Position reporting

IFPRU 4.5 Internal ratings based approach: definition of default

CONC 4.2 Pre-contract disclosure and adequate explanations

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