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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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FEES 10.3 Late payments and recovery of unpaid levies

As Published: 2015

FEES 10.3 Late payments and recovery of unpaid levies

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DEPP 4.1 Executive decision maker

As Published: 2007

DEPP 4.1 Executive decision maker

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CASS 11.3 Responsibility for CASS operational oversight

As Published: 2014

CASS 11.3 Responsibility for CASS operational oversight

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REC 2.13 Promotion and maintenance of standards

As Published: 2004

REC 2.13 Promotion and maintenance of standards

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FEES 10.4 Relieving provisions

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

FEES App 1.3 Application Fees

GEN 2.2 Interpreting the Handbook

IFPRU 4.15 Credit risk mitigation

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

PERG 8.12 Exemptions applying to all controlled activities

COLL 4.2 Pre-sale notifications

DISP 3.5 Resolution of complaints by the Ombudsman

SYSC 1.4 Application of SYSC 11 to SYSC 21

PERG 6.7 Examples

CASS 1A.3 Responsibility for CASS operational oversight

DISP 3.3 Dismissal without consideration of the merits and test cases

LR 11.1 Related party transactions

GEN 6.1 Payment of financial penalties

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

FEES 10.3 Late payments and recovery of unpaid levies

DEPP 4.1 Executive decision maker

CASS 11.3 Responsibility for CASS operational oversight

REC 2.13 Promotion and maintenance of standards