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SYSC 13.4 Requirements to notify the appropriate regulator
As Published: 2006
SYSC 13.4 Requirements to notify the appropriate regulator
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REC 3.22 Restriction of, or instruction to close out, open positions
As Published: 2011
REC 3.22 Restriction of, or instruction to close out, open positions
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SUP 14.7 Cancellation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation
As Published: 2012
SUP 14.7 Cancellation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation
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DTR 1.5 Fees, market abuse safe harbours and sanctions
As Published: 2005
DTR 1.5 Fees, market abuse safe harbours and sanctions
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DTR 5.5 Acquisition or disposal by issuer of shares
As Published: 2007
DTR 5.5 Acquisition or disposal by issuer of shares
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REC 5.1 Introduction and legal background
As Published: 2011
REC 5.1 Introduction and legal background
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DISP App 3.5 Re-assessing rejected claims
As Published: 2010
DISP App 3.5 Re-assessing rejected claims
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REC 3.5 Disciplinary action and events relating to key individuals
As Published: 2013
REC 3.5 Disciplinary action and events relating to key individuals
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PERG 8.18 Financial promotions concerning the Lloyd’s market
As Published: 2007
PERG 8.18 Financial promotions concerning the Lloyd’s market
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COBS 20.3 Principles and Practices of Financial Management
As Published: 2008
COBS 20.3 Principles and Practices of Financial Management
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