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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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REC 3.15 Suspension of services and inability to operate facilities

As Published: 2007

REC 3.15 Suspension of services and inability to operate facilities

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BIPRU 12.6 Simplified ILAS

As Published: 2009

BIPRU 12.6 Simplified ILAS

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BIPRU 8.3 Scope and basic consolidation requirements for non-EEA sub-groups

As Published: 2006

BIPRU 8.3 Scope and basic consolidation requirements for non-EEA sub-groups

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COCON 3.1 General factors for assessing compliance

As Published: 2016

COCON 3.1 General factors for assessing compliance

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REC 3.18 Membership

As Published: 2010

REC 3.18 Membership

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CASS 5.1 Application

As Published: 2004

CASS 5.1 Application

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CASS 11.9 Segregation and the operation of client money accounts

As Published: 2014

CASS 11.9 Segregation and the operation of client money accounts

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SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

DTR 6.2 Filing information and use of language

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

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BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

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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