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

…

MCOB 2.5A The customer's best interests

As Published: 2012

MCOB 2.5A The customer's best interests

…

MCOB 5.2 Purpose

As Published: 2006

MCOB 5.2 Purpose

…

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

…

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

As Published: 2004

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

…

REC 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts

…

PERG 4.8 Administering a regulated mortgage contract

As Published: 2008

PERG 4.8 Administering a regulated mortgage contract

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

MCOB 7A.1 Application and general

MCOB 11A.1 MCD mortgage credit intermediary: submission of information to MCD mortgage lender

CONC 3.9 Financial promotions and communications: debt counsellors and debt adjusters

CONC 7.1 Application

COLL 4.2 Pre-sale notifications

PRIN 3.4 General

EG 6.2 Publicity during, or upon the conclusion of regulatory action

COLL 5.2 General investment powers and limits for UCITS schemes

MCOB 7A.2 Notification of interest-rate changes

MCOB 7A.3 Early repayment disclosure

CASS 8.3 Records and internal controls

MCOB 7A.5 Notification of changes resulting from auctions on the capital market

MIPRU 3.2 Professional indemnity insurance requirements

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