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 10A.9 Significant management functions [deleted]

As Published: 2014

SUP 10A.9 Significant management functions [deleted]

…

PERG 2.8 Exclusions applicable to particular regulated activities

As Published: 2005

PERG 2.8 Exclusions applicable to particular regulated activities

…

CASS 5.8 Safe keeping of client's documents and other assets

As Published: 2010

CASS 5.8 Safe keeping of client's documents and other assets

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

REC 3.12 Legal proceedings

SUP 15.9 Notifications by members of financial conglomerates

PERG 1.2 Introduction

ICOBS 7.1 The right to cancel

CASS 8.2 Definition of mandate

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

SUP 11.1 Application

CASS 5.6 Client money distribution

INSPRU 1.5 Internal-contagion risk

REC 2.16 Complaints

MCOB 10A.1 Calculation of the APRC

DISP 1.2 Consumer awareness rules

BIPRU 7.8 Securities underwriting

COLL 12.2 UK UCITS management companies

MAR 1.10 Statutory exceptions

SYSC 19E.2 Remuneration policies and practices

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