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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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DTR 6.2 Filing information and use of language

As Published: 2012

DTR 6.2 Filing information and use of language

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PERG 6.5 General principles

As Published: 2005

PERG 6.5 General principles

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DTR 1B.1 Application and purpose (Corporate governance)

As Published: 2008

DTR 1B.1 Application and purpose (Corporate governance)

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PERG 4.1 Application and purpose

As Published: 2006

PERG 4.1 Application and purpose

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REC 4.4 Complaints

As Published: 2011

REC 4.4 Complaints

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Similar To

FIT 2.1 Honesty, integrity and reputation

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

DTR 1.5 Fees and sanctions

SUP 10C.3 General material about the definition of controlled functions

EG 9.2 The FCA’s general policy in this area

COLL 6.9 Independence, names and UCITS business restrictions

EG 3.7 Investigations to assist overseas authorities (section 169)

EG 18.1 Cancellation on the FCA’s own-initiative

MCOB 4A.3 Record of recommendation

PERG 7.3 Does the activity require authorisation?

SUP 18.4 Friendly Society transfers and amalgamations

PERG 7.6 Applications for a certificate

EG 3.3 Reports by skilled persons (section 166)

REC 2.9 Transaction recording

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

DTR 6.2 Filing information and use of language

PERG 6.5 General principles

DTR 1B.1 Application and purpose (Corporate governance)

PERG 4.1 Application and purpose

REC 4.4 Complaints