Search Result

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation

…

FEES 9.2 PSR fees

As Published: 2015

FEES 9.2 PSR fees

…

REC 3.25 Significant breaches of rules and disorderly trading conditions

As Published: 2007

REC 3.25 Significant breaches of rules and disorderly trading conditions

…

REC 2.9 Transaction recording

As Published: 2004

REC 2.9 Transaction recording

…

SYSC 19D.3 Remuneration principles

As Published: 2015

SYSC 19D.3 Remuneration principles

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

REC 4.9 Disciplinary measures

SUP 14.6 Cancelling qualification for authorisation

SUP 13.2 Introduction

REC 2.15 Discipline

SUP 6.2 Introduction

REC 4.4 Complaints

SYSC 9.1 General rules on record-keeping

SUP 5.1 Application and purpose

FEES 7.2 The CFEB levy

SUP 10C.10 Application for approval and withdrawing an application for approval

PERG 8.14 Other financial promotions

GENPRU 2.2 Capital resources

SUP 15.2 Purpose

LR 8.7 Supervision of sponsors

REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation

FEES 9.2 PSR fees

REC 3.25 Significant breaches of rules and disorderly trading conditions

REC 2.9 Transaction recording

SYSC 19D.3 Remuneration principles