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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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CREDS 9.2 Reporting

As Published: 2012

CREDS 9.2 Reporting

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EG 6.1 Publicity during FCA investigations

As Published: 2016

EG 6.1 Publicity during FCA investigations

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EG 2.1 Case selection and the use of enforcement powers

As Published: 2016

EG 2.1 Case selection and the use of enforcement powers

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COLL 7.5 Schemes or sub-funds that are not commercially viable

As Published: 2013

COLL 7.5 Schemes or sub-funds that are not commercially viable

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Similar To

PERG 5.12 Link between activities and the United Kingdom

COCON 1.1 Application

COLL 6.12 Risk management policy and risk measurement

PERG 2.5 Investments and activities: general

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ICOBS 5.2 Demands and needs

EG 13.5 Petitions for administration orders or compulsory winding up orders: determining which insolvency order to seek

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EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

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

CONC 4.5 Commissions

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

CREDS 9.2 Reporting

EG 6.1 Publicity during FCA investigations

EG 2.1 Case selection and the use of enforcement powers

COLL 7.5 Schemes or sub-funds that are not commercially viable