Search Result

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

…

SYSC 22.1 Application

As Published: 2016

SYSC 22.1 Application

…

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

As Published: 2006

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

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

EG 19.13 The Consumer Protection Co-operation Regulation26

DTR 1.5 Fees and sanctions

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

PERG 8.8 Having an effect in the United Kingdom

CASS 8.2 Definition of mandate

MCOB 5A.4 Provision of a European Standardised Information Sheet (ESIS)

DTR 5.2 Acquisition or disposal of major proportions of voting rights

SUP 16.10 Verification of firm details

REC 2A.4 Power and procedure for RAP penalties and censures

SUP 8A.4 Notification of altered circumstances relating to directions or waivers

DISP App 3.3 The approach to considering evidence at step 1

SUP 11.4 Requirements on firms

MAR 1.2 Market Abuse: general

IFPRU 4.6 Internal ratings based approach: probability of default

BIPRU 7.6 Option PRR

DEPP 7.1 Application and purpose

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

SYSC 22.1 Application

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing