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

…

SUP 15.7 Form and method of notification

As Published: 2002

SUP 15.7 Form and method of notification

…

DTR 6.3 Dissemination of information

As Published: 2007

DTR 6.3 Dissemination of information

…

FEES 1.1 Application and Purpose

As Published: 2005

FEES 1.1 Application and Purpose

…

SUP 8.3 Applying for a waiver

As Published: 2002

SUP 8.3 Applying for a waiver

…

GEN 6.1 Payment of financial penalties

As Published: 2003

GEN 6.1 Payment of financial penalties

…

SUP 11.6 Subsequent notification requirements by firms

As Published: 2004

SUP 11.6 Subsequent notification requirements by firms

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

DTR 5.4 Aggregation of managed holdings

REC 2.12 Availability of relevant information and admission of financial instruments to trading

COLL 6.9 Independence, names and UCITS business restrictions

REC 2A.1 Introduction

SUP 2.1 Application and purpose

EG 19.10 Enterprise Act 2002

SYSC 19D.3 Remuneration principles

SUP 10C.16 References and accurate information

REC 3.7 Auditors

SUP 10A.13 Application for approval and withdrawing an application for approval

PERG 2.7 Activities: a broad outline

SUP 10A.14 Changes to an FCA-approved person's details

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