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

…

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

…

DISP App 1.5 Additional considerations

As Published: 2005

DISP App 1.5 Additional considerations

…

SUP 10C.16 References and accurate information

As Published: 2016

SUP 10C.16 References and accurate information

…

SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative

As Published: 2007

SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

PERG 8.17-A Financial promotions concerning consumer credit and consumer hire

REC 1.1 Application

MAR 10.5 Other reporting, notifications and information requirements

SUP 16.7A Annual report and accounts

PERG 4.2 Introduction

PERG 5.1 Application and purpose

PERG 8.37 AIFMD Marketing

CASS 6.2 Holding of client assets

COLL 12.2 UK UCITS management companies

CONC 8.3 Pre contract information and advice requirements

COND 2.7 Business model

SUP 10C.9 Minimising overlap with the PRA approved persons regime

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

FEES 13.2 The IML levy

COBS 6.2A Describing advice services [deleted]

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

SUP 12.9 Record keeping

DISP App 1.5 Additional considerations

SUP 10C.16 References and accurate information

SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative