Search Result
SYSC 19A.1 General application and purpose
As Published: 2010
SYSC 19A.1 General application and purpose
…
BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver
As Published: 2013
BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver
…
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
As Published: 2010
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
…
DEPP 6.5A The five steps for penalties imposed on firms
As Published: 2010
DEPP 6.5A The five steps for penalties imposed on firms
…
CONC 5.2 Creditworthiness assessment: before agreement
As Published: 2015
CONC 5.2 Creditworthiness assessment: before agreement
…
PERG 8.21 Company statements, announcements and briefings
As Published: 2005
PERG 8.21 Company statements, announcements and briefings
…
REC 2.16A Operation of a multilateral trading facility
As Published: 2007
REC 2.16A Operation of a multilateral trading facility
…
EG 19.2 Industrial and Provident Societies Act 1965 (IPSA65) , Friendly and Industrial and Provident Societies Act 1968 (FIPSA68) , Friendly Societies Act 1974 (FSA74) , Friendly Societies Act 1992 (FSA92)
As Published: 2016
EG 19.2 Industrial and Provident Societies Act 1965 (IPSA65) , Friendly and Industrial and Provident Societies Act 1968 (FIPSA68) , Friendly Societies Act 1974 (FSA74) , Friendly Societies Act 1992 (FSA92)
…
EG 19.7 The Open-Ended Investment Companies Regulations 2001
As Published: 2016
EG 19.7 The Open-Ended Investment Companies Regulations 2001
…
EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions
As Published: 2015
EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions
…
CASS 1A.3 Responsibility for CASS operational oversight
As Published: 2010
CASS 1A.3 Responsibility for CASS operational oversight
…
EG 2.1 Case selection and the use of enforcement powers
As Published: 2016
EG 2.1 Case selection and the use of enforcement powers
…