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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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SUP 12.5 Contracts: required terms

As Published: 2002

SUP 12.5 Contracts: required terms

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COBS 14.2 Providing product information to clients

As Published: 2007

COBS 14.2 Providing product information to clients

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EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

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

REC 3.14A Operation of a trading venue

EG 19.27 Alternative Investment Fund Managers Regulations 2013

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

TC 2.1 Assessing and maintaining competence

PERG 13.6 CRD IV [deleted]

SUP 16.3 General provisions on reporting

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

BIPRU 4.3 The IRB approach: Provisions common to different exposure classes

BIPRU 7.10 Use of a Value at Risk Model

EG 2.3 Case selection: Threshold Conditions cases

DTR 5.4 Aggregation of managed holdings

DISP 1.3 Complaints handling rules

GEN 1.3 Emergency

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 12.5 Contracts: required terms

COBS 14.2 Providing product information to clients