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

…

CASS 1.4 Application: particular activities

As Published: 2007

CASS 1.4 Application: particular activities

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

TC App 4.1 Appropriate Qualification tables

SUP 2.1 Application and purpose

REC 4.2D Suspension and removal of financial instruments from trading

REC 3.26 Proposals to make regulatory provision

FEES 7.1 Application and Purpose

PERG 4.11 Link between activities and the United Kingdom

REC 4.5 FSA supervision of action by UK recognised bodies under their default rules

SYSC 4.1 General requirements

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

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

ICOBS 6.1 General

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?

ICOBS 3.2 E-Commerce

CRED 9.2 General requirements

LR 10.8 Miscellaneous

FEES 4.3 Periodic fee payable by firms (other than ICVCs and UCITS qualifiers)

COBS 4.12 Unregulated collective investment schemes

COND 2.3 Threshold condition 3: Close links

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

CASS 1.4 Application: particular activities