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

…

EG 2.3 Case selection: Threshold Conditions cases

As Published: 2016

EG 2.3 Case selection: Threshold Conditions cases

…

DISP 1.3 Complaints handling rules

As Published: 2003

DISP 1.3 Complaints handling rules

…

COBS 14.2 Providing product information to clients

As Published: 2007

COBS 14.2 Providing product information to clients

…

GEN 1.3 Emergency

As Published: 2003

GEN 1.3 Emergency

…

COLL 1.1 Applications and purpose

As Published: 2007

COLL 1.1 Applications and purpose

…

PERG 9.10 Significance of being an open-ended investment company

As Published: 2005

PERG 9.10 Significance of being an open-ended investment company

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

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

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

PERG 13.6 CRD IV [deleted]

EG 12.1 The FCA’s general approach

BIPRU 4.3 The IRB approach: Provisions common to different exposure classes

REC 3.14A Operation of a trading venue

SUP 16.13 Reporting under the Payment Services Regulations

SUP 10C.10 Application for approval and withdrawing an application for approval

EG 19.27 Alternative Investment Fund Managers Regulations 2013

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

SUP 16.3 General provisions on reporting

BIPRU 7.10 Use of a Value at Risk Model

DTR 5.4 Aggregation of managed holdings

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