Search Result

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

…

PERG 17.3 What the advice must be about

As Published: 2014

PERG 17.3 What the advice must be about

…

MAR 5A.4 Trading process requirements

As Published: 2017

MAR 5A.4 Trading process requirements

…

CONC 8.7 Charging for debt counselling, debt advice and related services

As Published: 2014

CONC 8.7 Charging for debt counselling, debt advice and related services

…

COBS 11.2 Best execution for AIFMs and residual CIS operators

As Published: 2007

COBS 11.2 Best execution for AIFMs and residual CIS operators

…

MCOB 2A.2 Tying practices

As Published: 2016

MCOB 2A.2 Tying practices

…

PERG 8.34 The business test

As Published: 2018

PERG 8.34 The business test

…

ICOBS 7.2 Effects of cancellation

As Published: 2008

ICOBS 7.2 Effects of cancellation

…

DISP 3.5 Resolution of complaints by the Ombudsman

As Published: 2008

DISP 3.5 Resolution of complaints by the Ombudsman

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

FEES 2.3 Relieving Provisions

CASS 11.10 Payments to creditors

IPRU-INV 5.8 Calculation of own funds and liquid capital

ICOBS 3.1 Distance marketing

ICOBS 2.2 Communications to clients and financial promotions

SUP 4.1 Application

FEES App 1 Annex 1 Periodic fees payable for the period 1 April 2018 to 31 March 2019 [deleted]

LR 12.5 Purchase of own securities other than equity shares

MAR 5.5 Monitoring compliance with the rules of the MTF

FEES App 1 Annex 1A Application Fees payable

MAR 5A.7 Monitoring compliance with the rules of the OTF