Search Result

MCOB 4.6 Cancellation of distance mortgage mediation contracts, distance home purchase mediation contracts and distance regulated sale and rent back mediation contracts

…

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COLL 6.13 Record keeping

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

FEES 3.1 Introduction

SUP 11.8 Changes in the circumstances of existing controllers

SUP 15.7 Form and method of notification

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

SYSC 6.1 Compliance

DTR 8.5 Supervision of primary information providers

SYSC 13.4 Requirements to notify the appropriate regulator

COLL 4.3 Approvals and notifications

SUP 15.6 Inaccurate, false or misleading information

LR App 1.1 Relevant definitions

MAR 5A.8 Reporting requirements

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

REC 2.9 Transaction recording

REC 3.25 Significant breaches of rules and disorderly trading conditions

CASS 6.4 Use of safe custody assets

SUP 11.5 Notifications by firms

MCOB 4.6 Cancellation of distance mortgage mediation contracts, distance home purchase mediation contracts and distance regulated sale and rent back mediation contracts

CASS 6.2 Holding of client assets