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SUP 14.5 Variation 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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REC 3.17 Inability to discharge regulatory functions

As Published: 2013

REC 3.17 Inability to discharge regulatory functions

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EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)

As Published: 2016

EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)

…

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TC App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3

MAR 5.7 Pre-trade transparency requirements for shares

LR 10.2 Classifying transactions

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

CASS 6.6 Records, accounts and reconciliations

BIPRU 7.5 Foreign currency PRR

CASS 5.8 Safe keeping of client's documents and other assets

CASS 9.2 Prime broker's daily report to clients

BIPRU 13.1 Application and Purpose

DTR 1A.3 FCA may require the publication of information

SUP 14.4 Notices of proposed changes: form and delivery

REC 4.6 The section 296 power to give directions

PRIN 3.3 Where?

EG 2.4 Case selection: Unauthorised business

REC 2A.2 Method of satisfying the RAP recognition requirements

MAR 4.1 Application and Purpose

EG 10.1 Introduction

SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation

REC 3.17 Inability to discharge regulatory functions

EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)