Search Result

EG 19.2 Friendly Societies Act 1974 (FSA74), Friendly Societies Act 1992 (FSA92), Co-operative and Community Benefit Societies Act 2014 (CCBSA14) and Co-operative and Community Benefit Societies Act (Northern Ireland) 1969 (CCBSA(NI)69)

…

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

…

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

As Published: 2006

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

…

SUP 10C.11 Statements of responsibilities

As Published: 2015

SUP 10C.11 Statements of responsibilities

…

COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS

As Published: 2017

COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS

…

COBS 6.1A Adviser charging and remuneration

As Published: 2010

COBS 6.1A Adviser charging and remuneration

…

COBS 20.2 Treating with-profits policyholders fairly

As Published: 2009

COBS 20.2 Treating with-profits policyholders fairly

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COLL 11.2 Approval of a feeder UCITS

BIPRU 12.7 Liquid assets buffer

COLL 7.2 Suspension and restart of dealings

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

REC 3.6 Constitution and governance

BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives

CONC 4.1 Content of quotations

CONC 10.1 Application and purpose

MCOB 12.1 Application

CONC 7.18 Notice of sums in arrears under P2P agreements for running-account credit

SUP 10A.6 FCA governing functions

BIPRU 9.10 Reduction in risk-weighted exposure amounts

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation