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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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TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

As Published: 2017

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

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IFPRU 1.2 Significant IFPRU firm

As Published: 2014

IFPRU 1.2 Significant IFPRU firm

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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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CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

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MAR 5.3 Trading process requirements

COLL 4.5 Reports and accounts

FEES 7.1 Application and Purpose

COBS 20.1 Application

SUP 10A.12 Procedures relating to FCA-approved persons

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PERG 5.15 Illustrative tables

EG 7.6 Private warnings

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EG 16.2 Disapplication orders

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EG 19.27 Alternative Investment Fund Managers Regulations 2013

DISP 1.3 Complaints handling rules

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

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

IFPRU 1.2 Significant IFPRU firm

REC 4.2F Information gathering power on FCA’s own initiative

CASS 6.2 Holding of client assets