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

…

FEES 8.1 Consumer Credit permissions

As Published: 2013

FEES 8.1 Consumer Credit permissions

…

LR 5.2 Cancelling listing

As Published: 2007

LR 5.2 Cancelling listing

…

CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

…

SUP 16.3 General provisions on reporting

As Published: 2001

SUP 16.3 General provisions on reporting

…

COBS 19.7 Pensions nudge and retirement risk warnings

As Published: 2015

COBS 19.7 Pensions nudge and retirement risk warnings

…

SUP 10A.14 Changes to an FCA-approved person's details

As Published: 2014

SUP 10A.14 Changes to an FCA-approved person's details

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

CASS 6.2 Holding of client assets

PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)

SYSC 4.5

SYSC 4.6

SUP 18.2 Insurance business transfers

REC 3.1 Application and purpose

CASS 7.15 Records, accounts and reconciliations

EG 15.4 Disqualification under section 249 or section 261K

LR 11.1 Related party transactions

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

SUP 16.11 Product Sales Data Reporting

DTR 8.5 Supervision of primary information providers

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