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REC 3.14A Operation of a regulated market or MTF
As Published: 2007
REC 3.14A Operation of a regulated market or MTF
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DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
As Published: 2010
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
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SUP 10A.13 Application for approval and withdrawing an application for approval
As Published: 2013
SUP 10A.13 Application for approval and withdrawing an application for approval
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SYSC 13.8 External events and other changes
As Published: 2006
SYSC 13.8 External events and other changes
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SUP 10A.8 Systems and controls functions
As Published: 2013
SUP 10A.8 Systems and controls functions
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SYSC 4.2 Persons who effectively direct the business
As Published: 2008
SYSC 4.2 Persons who effectively direct the business
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SUP 16.12 Integrated Regulatory Reporting
As Published: 2006
SUP 16.12 Integrated Regulatory Reporting
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FEES 4.4 Information on which Fees are calculated
As Published: 2007
FEES 4.4 Information on which Fees are calculated
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SYSC 1.4 Application of SYSC 11 to SYSC 21
As Published: 2006
SYSC 1.4 Application of SYSC 11 to SYSC 21
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DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
As Published: 2010
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
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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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REC 2A.4 Power and procedure for RAP penalties and censures
As Published: 2012
REC 2A.4 Power and procedure for RAP penalties and censures
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