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FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
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DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
As Published: 2010
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
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BIPRU 3.4 Risk weights under the standardised approach to credit risk
As Published: 2006
BIPRU 3.4 Risk weights under the standardised approach to credit risk
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COLL 6.9 Independence, names and UCITS business restrictions
As Published: 2006
COLL 6.9 Independence, names and UCITS business restrictions
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REC 4.2F Information gathering power on FCA’s own initiative
As Published: 2013
REC 4.2F Information gathering power on FCA’s own initiative
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FEES 10.1 Application, purpose and background
As Published: 2015
FEES 10.1 Application, purpose and background
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EG 4.2 Notifying the person under investigation where notice is not required under the Act
As Published: 2016
EG 4.2 Notifying the person under investigation where notice is not required under the Act
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DTR 1A.3 FCA may require the publication of information
As Published: 2012
DTR 1A.3 FCA may require the publication of information
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SUP 5.6 Confidential information and privilege
As Published: 2016
SUP 5.6 Confidential information and privilege
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