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

…

DEPP 5.1 Settlement decision makers

As Published: 2007

DEPP 5.1 Settlement decision makers

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

DEPP 6A.3 Determining the appropriate length of the period of suspension, restriction, condition or disciplinary prohibition

COLL 6.6B UCITS depositaries

MAR 4.3 Support of the Takeover Panel's Functions

LR 4.2 Contents and format of listing particulars

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

LR 4.4 Miscellaneous

COBS 15.4 Effects of cancellation

SUP 16.20 Submission of recovery plans and information for resolution plans

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

CASS 8.3 Records and internal controls

CONC 1.1 Application and purpose

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

SYSC 3.2 Areas covered by systems and controls

LR 12.4 Purchase of own equity shares

MCOB 5.1 Application

IFPRU 4.6 Internal ratings based approach: probability of default

PERG 6.6 The factors

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