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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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DISP 2.5 To which activities does the Voluntary Jurisdiction apply?

As Published: 2005

DISP 2.5 To which activities does the Voluntary Jurisdiction apply?

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DISP 1.6 Complaints time limit rules

As Published: 2008

DISP 1.6 Complaints time limit rules

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DISP 4.2 Standard terms

As Published: 2005

DISP 4.2 Standard terms

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DEPP 8.1 Introduction

As Published: 2015

DEPP 8.1 Introduction

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SUP 16.19 Immigration Act compliance reporting

As Published: 2014

SUP 16.19 Immigration Act compliance reporting

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EG 9.1 Introduction

As Published: 2016

EG 9.1 Introduction

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

As Published: 2019

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

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Similar To

COLL 5.4 Stock lending

COLL 11.5 Auditors

TC App 6.1 Accredited bodies

REC 3.25 Significant breaches of rules and disorderly trading conditions

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

REC 3.21 Criminal offences and civil prohibitions

SYSC 4.3 Responsibility of senior personnel

APER 4.6 Statement of Principle 6

EG 19.1 Introduction

EG 10.3 Asset-freezing injunctions

LR 19.4 Continuing obligations

REC 3.19 Investigations

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