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FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
As Published: 2012
FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
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REC 6A.1 Exercise of passport rights by EEA market operator
As Published: 2007
REC 6A.1 Exercise of passport rights by EEA market operator
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IFPRU 1.3 Supervisory benchmarking of internal approaches for calculating own funds requirements
As Published: 2014
IFPRU 1.3 Supervisory benchmarking of internal approaches for calculating own funds requirements
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PERG 8.17 Financial promotions concerning agreements for qualifying credit
As Published: 2005
PERG 8.17 Financial promotions concerning agreements for qualifying credit
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IFPRU 5.2 Advanced Measurement Approach permission
As Published: 2014
IFPRU 5.2 Advanced Measurement Approach permission
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DEPP 6.5A The five steps for penalties imposed on firms
As Published: 2010
DEPP 6.5A The five steps for penalties imposed on firms
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SUP 1A.3 The FCA's approach to supervision
As Published: 2013
SUP 1A.3 The FCA's approach to supervision
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BIPRU 9.13 Securitisations of revolving exposures with early amortisation provisions
As Published: 2007
BIPRU 9.13 Securitisations of revolving exposures with early amortisation provisions
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SUP 16.13 Reporting under the Payment Services Regulations
As Published: 2010
SUP 16.13 Reporting under the Payment Services Regulations
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MAR 1.6 Market abuse (manipulating transactions)
As Published: 2005
MAR 1.6 Market abuse (manipulating transactions)
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COBS 6.1 Information about the firm and compensation information
As Published: 2007
COBS 6.1 Information about the firm and compensation information
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REC 3.20 Disciplinary action relating to members
As Published: 2013
REC 3.20 Disciplinary action relating to members
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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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