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 19.17 Regulated Covered Bonds Regulations 2008

As Published: 2016

EG 19.17 Regulated Covered Bonds Regulations 2008

…

EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers

As Published: 2016

EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers

…

COBS 4.13 UCITS

As Published: 2011

COBS 4.13 UCITS

…

APER 3.1 Introduction

As Published: 2005

APER 3.1 Introduction

…

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

As Published: 2006

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

…

FEES 9.2 PSR fees

As Published: 2015

FEES 9.2 PSR fees

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

FEES 1.1 Application and Purpose

EG 19.20 Payment Services Regulations 2017

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

CASS 6.6 Records, accounts and reconciliations

DTR 1.5 Fees and sanctions

MAR 5.3 Trading process requirements

PERG 9.4 Collective investment scheme (section 235 of the Act)

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

SUP 5.6 Confidential information and privilege

REC 2.11 Custody

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

PERG 5.15 Illustrative tables

SUP 10C.16 References and accurate information

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