Search Result

IPRU-INV 5.9 Liquid Capital Requirement for firms whose permitted business includes establishing, operating or winding up a personal pension scheme

…

COBS 6.1E Platform services: platform charges and using a platform service for advising

As Published: 2011

COBS 6.1E Platform services: platform charges and using a platform service for advising

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

CREDS 9.2 Reporting

DISP App 3.7A Approach to redress at step 2

MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

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

DISP 1.5 Complaints resolved by close of the third business day

REC 3.2 Form and method of notification

COBS 5.2 E-Commerce

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

MCOB 2.8 Record keeping

BIPRU 9.12 Calculation of risk-weighted exposure amounts under the IRB approach

MCOB 2.1 Application

IPRU-INV 13.14 CALCULATION OF ANNUAL INCOME FOR A PERSONAL INVESTMENT FIRM

LR 13.7 Circulars about purchase of own equity shares

COLL 6.7 Payments

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

BIPRU 14.3 Unsettled transactions

COBS 6.4 Disclosure of charges, remuneration and commission

BIPRU 4.5 The IRB approach: Specialised lending exposures

IPRU-INV 5.9 Liquid Capital Requirement for firms whose permitted business includes establishing, operating or winding up a personal pension scheme