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

…

FEES 6.2 Exemption

As Published: 2007

FEES 6.2 Exemption

…

APER 2.1A The Statements of Principle

As Published: 2015

APER 2.1A The Statements of Principle

…

DTR 2.2 Disclosure of inside information

As Published: 2016

DTR 2.2 Disclosure of inside information

…

CREDS 2.1 Application and purpose

As Published: 2011

CREDS 2.1 Application and purpose

…

COLL 6.8 Income: accounting, allocation and distribution

As Published: 2006

COLL 6.8 Income: accounting, allocation and distribution

…

TC 2.2A Time limits

As Published: 2010

TC 2.2A Time limits

…

COBS 10.7 Record keeping and retention periods for appropriateness records

As Published: 2008

COBS 10.7 Record keeping and retention periods for appropriateness records

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

APER 1.2 Purpose

REC 4.7 The section 297 power to revoke recognition

EG 2.13 Late reporting or non-submission of reports to the FCA

SUP 15A.1 Application and notifications under EMIR

REC 4.2C Control over a UK RIE

BIPRU 12.1 Application

PERG 1.3 Status of guidance

SUP 8.9 Decision making

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

BIPRU 11.4 Technical criteria on disclosure: General criteria

BIPRU 11.6 Qualifying requirements for the use of particular instruments or methodologies

PERG 7.5 When is it appropriate to apply for a certificate?

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