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

…

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

As Published: 2005

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

…

CONC 2.6 Conduct of business: debt counselling, debt adjusting and providing credit information services

As Published: 2015

CONC 2.6 Conduct of business: debt counselling, debt adjusting and providing credit information services

…

DEPP 6.5 Determining the appropriate level of financial penalty

As Published: 2008

DEPP 6.5 Determining the appropriate level of financial penalty

…

SUP 10A.7 FCA required functions

As Published: 2013

SUP 10A.7 FCA required functions

…

EG 5.2 When settlement decisions may take place

As Published: 2016

EG 5.2 When settlement decisions may take place

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

MAR 5.3 Trading process requirements

CONC 11.2 Right of withdrawal: P2P agreements

COLL 9.1 Application and general information

BIPRU 11.4 Technical criteria on disclosure: General criteria

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

IPRU-INV 12.3 CALCULATION OF FINANCIAL RESOURCES

COBS 2.4 Agent as client and reliance on others

COBS 4.5 Communicating with retail clients (non-MiFID provisions)

MIPRU 4.2D Liquidity resources requirements

DISP 1.6 Complaints time limit rules

COBS 16.2 Occasional reporting

PERG 16.2 What types of funds and businesses are caught?

GEN 1.2 Referring to approval by the FCA

EG 8.1 Introduction

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