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

…

PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 4.4 Appropriate actuaries

CONC 7.4 Information on status of debts

IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A PERSONAL INVESTMENT FIRM

BIPRU 2.1 Solo consolidation

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

PERG 12.2 Establishing, operating or winding up a personal pension scheme

SUP 10C.12 Conditional and time-limited approvals

MCOB 6.3 General

SUP 15.8 Notification in respect of particular products and services

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

REC 2.3 Financial resources

COLL 9.4 Facilities in the United Kingdom for schemes recognised under section 272 of the Act

SUP 10C.5 FCA governing functions: Executive

MCOB 3A.3 Other general requirements for financial promotions

CONC 8.10 Conduct of business: providing credit information services

COND 1.1A Application

CONC 4.5 Commissions

SUP 11.2 Purpose

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

PRIN 1.1 Application and purpose