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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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SYSC 5.1 Skills, knowledge and expertise

As Published: 2006

SYSC 5.1 Skills, knowledge and expertise

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DEPP 6.2 Deciding whether to take action

As Published: 2007

DEPP 6.2 Deciding whether to take action

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DTR 5.8 Procedures for the notification and disclosure of major holdings

As Published: 2007

DTR 5.8 Procedures for the notification and disclosure of major holdings

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SYSC 19A.3 Remuneration principles for banks, building societies and investment firms

As Published: 2011

SYSC 19A.3 Remuneration principles for banks, building societies and investment firms

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CASS 6.1 Application

As Published: 2007

CASS 6.1 Application

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MAR 1.2 Market Abuse: general

MAR 1.3 Market abuse (insider dealing)

MAR 1.4 Market abuse (improper disclosure)

COLL 5.2 General investment powers and limits for UCITS schemes

REC 4.2D Suspension and removal of financial instruments from trading

TC 2.1 Assessing and maintaining competence

REC 2.5 Systems and controls and conflicts

ICOBS 8.4 Employers’ Liability Insurance

LR 13.5 Financial information in Class 1 Circulars

SYSC 3.2 Areas covered by systems and controls

LR 9.2 Requirements with continuing application

PERG 13.7 The territorial application of MiFID

CREDS 2.2 General provisions

LR 14.3 Continuing obligations

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

SYSC 5.1 Skills, knowledge and expertise

DEPP 6.2 Deciding whether to take action

DTR 5.8 Procedures for the notification and disclosure of major holdings

SYSC 19A.3 Remuneration principles for banks, building societies and investment firms

CASS 6.1 Application