Search Result
REC 4.6A The section 192C power to direct qualifying parent undertakings
As Published: 2013
REC 4.6A The section 192C power to direct qualifying parent undertakings
…
REC 3.21 Criminal offences and civil prohibitions
As Published: 2013
REC 3.21 Criminal offences and civil prohibitions
…
MAR 1.6 Market abuse (manipulating transactions)
As Published: 2005
MAR 1.6 Market abuse (manipulating transactions)
…
GENPRU 1.2 Adequacy of financial resources
As Published: 2006
GENPRU 1.2 Adequacy of financial resources
…
DEPP 6.5 Determining the appropriate level of financial penalty
As Published: 2008
DEPP 6.5 Determining the appropriate level of financial penalty
…
EG 9.4 Prohibition orders against exempt persons and members of professional firms
As Published: 2016
EG 9.4 Prohibition orders against exempt persons and members of professional firms
…
SUP 15.12 Ongoing alerts for retail adviser complaints
As Published: 2015
SUP 15.12 Ongoing alerts for retail adviser complaints
…
EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling
As Published: 2016
EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling
…
MCOB 3A.3 Other general requirements for financial promotions
As Published: 2015
MCOB 3A.3 Other general requirements for financial promotions
…