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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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ICOBS 5.2 Statement of demands and needs

As Published: 2008

ICOBS 5.2 Statement of demands and needs

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TC 3.1 Record-keeping requirements

As Published: 2007

TC 3.1 Record-keeping requirements

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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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REC 3.19 Investigations

As Published: 2011

REC 3.19 Investigations

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MAR 5.5 Monitoring compliance with the rules of the MTF

MAR 5.6 Reporting requirements

SUP 3.4 Auditors' qualifications

PERG 8.17A Financial promotions concerning insurance mediation activities

MIPRU 2.3 Knowledge, ability and good repute

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

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

REC 2.14 Rules and consultation

REC 2.4 Suitability

COLL 6.8 Income: accounting, allocation and distribution

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

ICOBS 5.2 Statement of demands and needs

TC 3.1 Record-keeping requirements

REC 3.9 Fees and incentive schemes

REC 3.19 Investigations