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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

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MAR 5.6 Reporting requirements

As Published: 2007

MAR 5.6 Reporting requirements

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SUP 10C.11 Statements of responsibilities

As Published: 2015

SUP 10C.11 Statements of responsibilities

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PERG 8.14 Other financial promotions

As Published: 2005

PERG 8.14 Other financial promotions

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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

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REC 6.7 Notification rules for overseas recognised bodies

As Published: 2013

REC 6.7 Notification rules for overseas recognised bodies

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EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

As Published: 2016

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

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SUP 1A.2 Introduction

As Published: 2013

SUP 1A.2 Introduction

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Effective Period

Similar To

EG 3.4 Investigations into general and specific concerns (sections 167 and 168)

SYSC 5.2 Certification regime

DEPP 6.6 Financial penalties for late and incomplete submission of reports

EG 19.20 Payment Services Regulations 2009

EG 19.3 Credit Unions Act 1979

PERG 4.11 Link between activities and the United Kingdom

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

EG 7.1 The FCA’s use of sanctions

EG 4.9 Involvement of FCA supervisors during the investigation phase

SUP 10C.13 Variation of conditional and time-limited approvals

REC 2.16 Complaints

DEPP 6A.1 Introduction

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