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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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SUP 11.3 Requirements on controllers or proposed controllers under the Act

As Published: 2001

SUP 11.3 Requirements on controllers or proposed controllers under the Act

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DTR 2.5 Delaying disclosure of inside information

As Published: 2008

DTR 2.5 Delaying disclosure of inside information

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SUP 12.7 Notification and reporting requirements

As Published: 2002

SUP 12.7 Notification and reporting requirements

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REC 3.18 Membership

As Published: 2010

REC 3.18 Membership

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REC 3.6 Constitution and governance

As Published: 2013

REC 3.6 Constitution and governance

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DEPP 7.1 Application and purpose

As Published: 2007

DEPP 7.1 Application and purpose

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SUP 10A.11 Minimising overlap with the PRA approved persons regime [deleted]

REC 3.4 Members of the management body and internal organisation

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

DISP 1.10 Complaints reporting rules

SUP 3.10 Duties of auditors: notification and report on client assets

COCON 4.2 Specific guidance on senior manager conduct rules

DTR 1.4 Suspension of trading

INSPRU 3.2 Derivatives in insurance

BIPRU 7.11 Credit derivatives in the trading book

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

REC 3.13 Delegation of relevant functions

APER 4.4 Statement of Principle 4

DTR 7.1 Audit committees

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