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

…

COLL 6.6A Duties of AFMs in relation to UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes

…

PERG 8.8 Having an effect in the United Kingdom

As Published: 2005

PERG 8.8 Having an effect in the United Kingdom

…

DEPP 7.2 Interviews

As Published: 2009

DEPP 7.2 Interviews

…

SUP 8.3 Applying for a waiver

As Published: 2002

SUP 8.3 Applying for a waiver

…

DEPP 3.2 The operation of the RDC

As Published: 2013

DEPP 3.2 The operation of the RDC

…

DTR 5.8 Procedures for the notification and disclosure of major holdings

As Published: 2007

DTR 5.8 Procedures for the notification and disclosure of major holdings

…

DEPP 4.1 Executive decision maker

As Published: 2007

DEPP 4.1 Executive decision maker

…

SYSC 3.1 Systems and controls

As Published: 2006

SYSC 3.1 Systems and controls

…

CONC 8.3 Pre contract information and advice requirements

As Published: 2014

CONC 8.3 Pre contract information and advice requirements

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

CREDS 8.3 Approved persons

EG 2.11 Senior management responsibility

MAR 5A.9 Suspension and removal of financial instruments

DISP 1.10A Complaints data publication rules

INSPRU 8.2 Special provisions for Lloyd's

CASS 1A.2 CASS firm classification

SYSC 1.4 Application of SYSC 11 to 28

SUP 16.10 Verification of firm details

CASS 10.1 Application, purpose and general provisions

SYSC 19B.1 Application

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