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PERG 13.4 Financial instruments
As Published: 2007
…PERG 13.5 Exemptions from MiFID
As Published: 2011
…Non-legal changes document 2013
As Published: 2013
…RU 2.1.22 Glossary: non-mainstream pooled investment DISP App 1.2.23 DISP App 1.4.14 DISP App 1.4.15 PERG 8.37 2 (3) (b), SUP 13 Annex 1 Glossary:Trading Day UPRU MAR 7.2.14 Glossary: capital resources gea…Non-legal changes 2016
As Published: 2016
…rg.uk/firms/systems-reporting/ona www.fca.org.uk/firms/connect Handbook Text Change Request 05.08.16 PERG 4.5.11 …FEES 4 Annex 13 Guidance on the calculation of tariffs set out in FEES 4 Annex 1AR Part 3
As Published: 2014
… happens outside the United Kingdom , the question may arise as to where the activity is carried on. PERG 2.4 …MCOB 4.8A Execution-only sales
As Published: 2012
…business model under which it will not give advice to particular customers , it may wish to refer to …Non-legal changes document 2011
As Published: 2011
…stitution; or (c) (3) an EEA authorised electronic money institution. Administrative updates 25.2.11 PERG15.2, Q8 Yes. If you are an electronic money issuer, you will be subject to the conduct of business …Non-legal changes document 2014
As Published: 2014
…ew email address firm.queries@fca.org.uk in the following pages: http://fshandbook.info/FS/html/FCA/ PERG/1/5 http://fshandbook.info/FS/html/FCA/SUP/10A/12 http://fshandbook.info/FS/html/handbook/PERG/1/5 …PRIN 3.3 Where?
As Published: 2002
… Great Britain , even if the establishment from which it is carried on is not located in the UK (see PERG 2.4A …CONC 3.2 Financial promotion general guidance
As Published: 2015
…otion). Guidance on that restriction and the communications which are exempt from it is contained in PERG 8 …life policy
As Published: 2001
…term care insurance contract ; and (b) (in COBS ) a pension policy ; unless (2) or (3) apply. (2) In PERG2 1 18 25 18 18 25 2 1 18 25 25 (1) (in accordance with the definition of 'qualifying contract of in…PDCOB 1.1 Application
As Published: 2024
…in the manner described in the application provisions of a particular chapter, section or rule . (3) PERG 12A …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
…th a group personal pension scheme or group stakeholder pension scheme . 2 COBS 6.1B.1A G 23/02/2018 PERG 8.30B …Non-legal changes document 2019
As Published: 2019
…TRICTED Handbook reference Text of change made The legal instrument FCA 2018/56 incorrectly numbered PERG 2.7.20N. …Non-legal changes
As Published: 2017
…services, issuance of electronic money, and CBTL business and covers: Administrative change 02/03/17 PERG 2.9.28 …advising on conversion or transfer of pension benefits
As Published: 2015
…ated activity specified in article 53E of the Regulated Activities Order , which is described in 146 PERG 2.7.16GG 121 the regulated activity specified in article 53E of the Regulated Activities Order , wh…FPCOB 17.1 Application and purpose
As Published: 2021
…o reduce the risk that it might be used to further financial crime . The Perimeter Guidance Manual ( …GN9_20100420.pdf
As Published: 2010
…eavily on guidance already contained in Chapters 2, 5 and 8 of the FSA’s Perimeter Guidance manual ( PERG). …MCOB 4A.2 Adequate explanations
As Published: 2016
…f complying with MCOB 4A.2.1 R do not amount to advice to that consumer . Firms may wish to refer to …COBS 1.1 General application
As Published: 2007
…7 RP Guidance on the application provisions is in COBS 1 Annex 1 (Part 3). COBS 1.1.5 G 01/01/2021 9 PERG 13 …