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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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DEPP 4.1 Executive decision maker

As Published: 2007

DEPP 4.1 Executive decision maker

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REC 2.13 Promotion and maintenance of standards

As Published: 2004

REC 2.13 Promotion and maintenance of standards

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REC 5.2 Application process

As Published: 2007

REC 5.2 Application process

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SUP 15.11 Notification of COCON breaches and disciplinary action

As Published: 2015

SUP 15.11 Notification of COCON breaches and disciplinary action

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SYSC 19B.1 Application

FEES 10.4 Relieving provisions

SUP 10C.14 Changes to an FCA-approved person’s details

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

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

PERG 8.12 Exemptions applying to all controlled activities

SYSC 1.4 Application of SYSC 11 to SYSC 22

DISP 3.5 Resolution of complaints by the Ombudsman

CASS 1A.3 Responsibility for CASS operational oversight

PERG 6.7 Examples

SYSC 19E.2 Remuneration policies and practices

GEN 6.1 Payment of financial penalties

LR 11.1 Related party transactions

COLL 4.2 Pre-sale notifications

DISP 3.3 Dismissal without consideration of the merits and test cases

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

DEPP 4.1 Executive decision maker

REC 2.13 Promotion and maintenance of standards

REC 5.2 Application process

SUP 15.11 Notification of COCON breaches and disciplinary action