Search Result

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

…

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

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COLL 6.4 Title and registers

REC 2.5 Systems and controls, algorithmic trading and conflicts

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

SUP 12.9 Record keeping

MCOB 5A.4 Provision of a European Standardised Information Sheet (ESIS)

MCOB 5.5 Provision of illustrations

SYSC 7.1 Risk control

GEN 2.2 Interpreting the Handbook

ICOBS 1.1 The general application rule

COLL 11.6 Winding up, merger and division of master UCITS

CASS 5.8 Safe keeping of client's documents and other assets

COLL 6.6B UCITS depositaries

CONC 5.5 Creditworthiness assessment: P2P agreements [deleted]

COBS 9.2 Assessing suitability

ICOBS 6.1 Providing product information to customers: general

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

DEPP 3.2 The operation of the RDC

COCON 4.2 Specific guidance on senior manager conduct rules

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

COBS 11.2 Best execution for AIFMs and residual CIS operators