Chapter 10 Conflicts of interest - FCA Handbook

The SFGB money advice levy and SFGB debt advice levy are each calculated as follows: 1 identify each of the activity groups set out in Part 1 of ■FEES 7A Annex 1R and Part 1 of■FEES

2 In the light of the results of a firm's reverse stress tests, the FSA appropriate regulator may require the firm to implement specific measures to prevent or mitigate the risk of

38 1 Investment firms which provide advice on corporate finance strategy, as set out in Paragraph 3 of Part 3A of Schedule 2 to the Regulated Activities Order, and provide the service

MAR 7A : Algorithmic trading Section 7A.2 : Purpose 7A G 7A.2.1 7A.2 Purpose The purpose of this chapter is to implement article 17 of MiFID, which imposes requirements on

8 [deleted] 9 Bodies corporate in the same group as the relevant person in default or, in respect of a claim against a successor in default, bodies corporate in the same group as a

A firm may provide the distance marketing information ■COBS 5 Annex 1R and the contractual terms and conditions in a durable medium immediately after the conclusion of a distance

As indicated in■MCOB 3.3Application: where?, for the purposes of the financial promotion rules there are two types of approach to financial promotion communicated via the Internet and

The purpose of this guidance is to outline the circumstances in which a body corporate will be an open-ended investment company and, in so doing, to: 1 give an overview of the