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

…

DISP 1.1 Purpose and application

As Published: 2001

DISP 1.1 Purpose and application

…

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

As Published: 2009

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

…

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

As Published: 2007

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

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

REC 2.16A Operation of a multilateral trading facility

SUP 16.4 Annual controllers report

COLL 4.7 Key investor information and marketing communications

SUP 14.1 Application and purpose

DEPP 7.2 Interviews

COBS 4.1 Application

SUP 11.5 Notifications by firms

REC 4.3 Risk assessments for UK recognised bodies

SUP 13.1 Application and purpose

REC 3.7 Auditors

SUP 18.4 Friendly Society transfers and amalgamations

REC 4.1 Application and purpose

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

REC 2.4 Suitability

REC 2.13 Promotion and maintenance of standards

RCB 3.3 Asset pool notifications

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

DISP 1.1 Purpose and application

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

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