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 19.7 The Open-Ended Investment Companies Regulations 2001

As Published: 2016

EG 19.7 The Open-Ended Investment Companies Regulations 2001

…

DEPP 6.6 Financial penalties for late and incomplete submission of reports

As Published: 2010

DEPP 6.6 Financial penalties for late and incomplete submission of reports

…

COBS 20.2 Treating with-profits policyholders fairly

As Published: 2009

COBS 20.2 Treating with-profits policyholders fairly

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

FIT 2.1 Honesty, integrity and reputation

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

SYSC 6.3 Financial crime

EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004

COLL 11.4 Depositaries

PERG 5.11 Other aspects of exclusions

COLL 6.2 Dealing

GENPRU 3.1 Application

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

SYSC 4.5

SUP 9.2 Making a request for individual guidance

PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance

EG 2.5 Cases where other authorities have an interest

EG 3.4 Investigations into general and specific concerns (sections 167 and 168)

BIPRU 12.2 Adequacy of liquidity resources

CASS 1A.2 CASS firm classification

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 19.7 The Open-Ended Investment Companies Regulations 2001

DEPP 6.6 Financial penalties for late and incomplete submission of reports

COBS 20.2 Treating with-profits policyholders fairly