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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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CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

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PERG 8.4 Invitation or inducement

As Published: 2005

PERG 8.4 Invitation or inducement

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REC 4.2A Publication of information by UK RIEs and RAPs

As Published: 2007

REC 4.2A Publication of information by UK RIEs and RAPs

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SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

As Published: 2004

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

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ICOBS 1.1 The general application rule

As Published: 2007

ICOBS 1.1 The general application rule

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SUP 5.3 Policy on the use of skilled persons

As Published: 2005

SUP 5.3 Policy on the use of skilled persons

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Similar To

COLL 6.9 Independence, names and UCITS business restrictions

REC 3.21 Criminal offences and civil prohibitions

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

SUP 18.4 Friendly Society transfers and amalgamations

CASS 6.1 Application

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

DISP 1.10 Complaints reporting rules

REC 4.3 Risk assessments for UK recognised bodies

LR 14.3 Continuing obligations

SYSC 6.1 Compliance

PR 3.1 Approval of prospectus

PERG 4.12 Appointed representatives

SUP 11.2 Purpose

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