Search Result

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [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

As Published: 2010

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

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 15.4 Notified persons

SUP 15.9 Notifications by members of financial conglomerates

EG 7.2 Alternatives to sanctions

MCOB 9.1 Application

FIT 1.1 Application and purpose

REC 6.2 Applications

FEES 3.1 Introduction

MIPRU 2.3 Knowledge, ability and good repute [deleted]

CREDS 8.1 Application and purpose

MCOB 2.5 Reliance on others

SUP 10A.3 Provisions related to the Act

COBS 18.5 Residual CIS operators and small authorised UK AIFMs

COBS 6.1E Platform services: platform charges and using a platform service for advising

CASS 11.9 Segregation and the operation of client money accounts

DISP App 3.9 Other matters concerning redress at steps 1 and 2

CONC App 1.4 Exemption for high net worth borrowers and hirers and exemption relating to businesses

CREDS 7.1 Application, purpose and interpretation

DISP App 1.4 Policy reconstruction

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [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