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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

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REC 3.9 Fees and incentive schemes

As Published: 2001

REC 3.9 Fees and incentive schemes

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SUP 2.3 Information gathering by the FSA on its own initiative: cooperation by firms

PERG 9.4 Collective investment scheme (section 235 of the Act)

SUP 7.2 The FSA's powers to set individual requirements on its own initiative

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

LR 1.3 Information gathering and publication

MAR 5.2 Purpose

DTR 1A.3 FSA may require the publication of information

MAR 5.4 Finalisation of transactions

MAR 5.5 Monitoring compliance with the rules of the MTF

MAR 5.6 Reporting requirements

TC 3.1 Record-keeping requirements

REC 2.14 Rules and consultation

REC 2.4 Suitability

REC 2.13 Promotion and maintenance of standards

COLL 6.8 Income: accounting, allocation and distribution

SUP App 2.10 Grant or variation of permission

BIPRU 3.3 The use of the credit assessments of ratings agencies

REC 3.22 Restriction of, or instruction to close out, open positions

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

REC 3.9 Fees and incentive schemes