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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 10C.16 References and accurate information

As Published: 2016

SUP 10C.16 References and accurate information

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BIPRU 7.7 Position risk requirements for collective investment undertakings

As Published: 2007

BIPRU 7.7 Position risk requirements for collective investment undertakings

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COLL 4.2 Pre-sale notifications

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

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

PERG 16.8 Territorial scope

PERG 2.2 Introduction

COBS 11.6 Use of dealing commission [deleted]

EG 19.9 Electronic commerce activity directions: the FCA’s policy [deleted]

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

SUP 12.7 Notification and reporting requirements

CASS 6.6 Records, accounts and reconciliations

EG 2.6 Assisting overseas regulators

MAR 5A.3 Specific requirements for OTFs

EG 19.23 Electronic Money Regulations 2011

PERG 8.8 Having an effect in the United Kingdom

IPRU-INV 5.3 Financial resources

REC 2.4A Management body

EG 13.4 Petitions for administration orders or compulsory winding up orders: determining whether to seek any insolvency order

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

SUP 10C.16 References and accurate information

BIPRU 7.7 Position risk requirements for collective investment undertakings