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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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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

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MAR 7A.5 Requirements when acting as a general clearing member

As Published: 2017

MAR 7A.5 Requirements when acting as a general clearing member

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COLL 6.11 Risk control and internal reporting

As Published: 2011

COLL 6.11 Risk control and internal reporting

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SYSC 6.3 Financial crime

LR 5.3 Requests to cancel or suspend

COCON 4.2 Specific guidance on senior manager conduct rules

SUP 2.4 'Mystery shopping'

DEPP 6.6 Financial penalties for late and incomplete submission of reports

SUP 10A.8 Systems and controls functions

SYSC 9.1 General rules on record-keeping

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

MAR 10.5 Other reporting, notifications and information requirements

ICOBS 1.1 The general application rule

PERG 2.1 Application and purpose

EG 3.2B Information requests (section 122B)

EG 3.2 Information requests (section 165)

MAR 9.4 Supervisory regime

MAR 6.4 Systematic internaliser reporting requirement

EG 3.2A Information requests (section 122A)

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

MAR 7A.5 Requirements when acting as a general clearing member

COLL 6.11 Risk control and internal reporting