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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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COBS 18.2 Energy market activity and oil market activity

As Published: 2007

COBS 18.2 Energy market activity and oil market activity

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CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments

As Published: 2016

CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments

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INSPRU 7.1 Application

As Published: 2006

INSPRU 7.1 Application

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LR 5.5 Miscellaneous

As Published: 2007

LR 5.5 Miscellaneous

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REC 3.16 Information technology systems

As Published: 2013

REC 3.16 Information technology systems

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SUP 3.11 Review of auditor’s client assets report

As Published: 2011

SUP 3.11 Review of auditor’s client assets report

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DEPP 6.6 Financial penalties for late and incomplete submission of reports

FEES 5.3 The general levy

LR 13.2 Approval of circulars

COCON 4.2 Specific guidance on senior manager conduct rules

CONC 7.1 Application

COBS 2.3 Inducements

FEES 10.5 Application of FEES 4 to the pensions guidance levy

CONC 6.6 Pawn broking: conduct of business

CONC 5A.5 Consequences of contravention of the cost caps

MCOB 4.4A Initial disclosure requirements

CONC 7.12 Lenders’ responsibilities in relation to debt

CONC 4.3 Pre-contractual requirements and adequate explanations: P2P agreements

CONC 6.7 Post contract: business practices

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