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

…

CASS 7A.2 Primary pooling events

As Published: 2012

CASS 7A.2 Primary pooling events

…

SUP 12.7 Notification requirements

As Published: 2002

SUP 12.7 Notification requirements

…

GENPRU 3.1 Application

As Published: 2006

GENPRU 3.1 Application

…

SUP 1A.3 The FCA's approach to supervision

As Published: 2019

SUP 1A.3 The FCA's approach to supervision

…

LR 5.3 Requests to cancel or suspend

As Published: 2007

LR 5.3 Requests to cancel or suspend

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

DTR 6.1 Information requirements for issuers of shares and debt securities

REC 6.3 Recognition requirements

GEN 4.3 Letter disclosure

CREDS App 1.1 Key Definitions

GENPRU 2.1 Calculation of capital resources requirements

SUP 16.7A Annual report and accounts

PERG 5.11 Other aspects of exclusions

COCON 4.2 Specific guidance on senior manager conduct rules

EG App 2.1 Purpose, status and application of the guidelines

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

DEPP 6.5A The five steps for penalties imposed on firms

EG 13.6 Petitioning for compulsory winding up on just and equitable grounds

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

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