Search Result

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

…

LR 4.4 Miscellaneous

As Published: 2007

LR 4.4 Miscellaneous

…

SYSC 4.2 Persons who effectively direct the business

As Published: 2008

SYSC 4.2 Persons who effectively direct the business

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

EG 7.1 The FCA’s use of sanctions

LR 9.5 Transactions

PERG 5.12 Link between activities and the United Kingdom

PERG 4.11 Link between activities and the United Kingdom

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

REC 2A.4 Power and procedure for RAP penalties and censures

LR 12.4 Purchase of own equity shares

ICOBS 6.2 Pre-contract information: general insurance contracts

PERG 9.4 Collective investment scheme (section 235 of the Act)

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

RCB 3.2 Annual confirmations of compliance and asset pool monitor

MCOB 1.2 General application: who? what?

CONC 4.3 Pre-contractual requirements and adequate explanations: P2P agreements

GEN 4.2 Purpose

PERG 9.10 Significance of being an open-ended investment company

APER 4.6 Statement of Principle 6

PERG 13.3 Investment Services and Activities

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

LR 4.4 Miscellaneous

SYSC 4.2 Persons who effectively direct the business