Search Result

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

…

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

As Published: 2009

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

…

DISP 1.1 Purpose and application

As Published: 2001

DISP 1.1 Purpose and application

…

LR 17.3 Requirements with continuing application

As Published: 2006

LR 17.3 Requirements with continuing application

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

REC 6A.2 Removal of passport rights from EEA market operator

REC 2.16A Operation of a multilateral trading facility

COLL 4.7 Key investor information and marketing communications

SUP 11.5 Notifications by firms

DEPP 7.2 Interviews

SUP 14.1 Application and purpose

REC 4.3 Risk assessments for UK recognised bodies

COBS 4.1 Application

SUP 18.4 Friendly Society transfers and amalgamations

REC 3.7 Auditors

RCB 3.3 Asset pool notifications

SUP 13.1 Application and purpose

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

REC 4.1 Application and purpose

REC 2.4 Suitability

REC 2.13 Promotion and maintenance of standards

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

DISP 1.1 Purpose and application

LR 17.3 Requirements with continuing application