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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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EG 7.9 Suspensions of voting rights

As Published: 2016

EG 7.9 Suspensions of voting rights

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COBS 2.1 Acting honestly, fairly and professionally

As Published: 2007

COBS 2.1 Acting honestly, fairly and professionally

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IPRU-INV 13.13 CAPITAL RESOURCES REQUIREMENT FOR AN EXEMPT CAD FIRM AND A CATEGORY B FIRM

As Published: 2015

IPRU-INV 13.13 CAPITAL RESOURCES REQUIREMENT FOR AN EXEMPT CAD FIRM AND A CATEGORY B FIRM

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COBS 8.1 Client agreements: non-MiFID designated investment business

As Published: 2007

COBS 8.1 Client agreements: non-MiFID designated investment business

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LR 20.1 Application

LR 1.6 Listing Categories

PERG 8.30 Medium used to give advice or information

PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)

COBS 3.2 Clients

PRIN 4.1 Principles: MiFID business

LR 10.1 Preliminary

DISP 1.10A Complaints data publication rules

LR 10.4 Class 2 requirements

SUP 2.4 'Mystery shopping'

LR 15.5 Transactions

REC 4.2A Publication of information by UK RIEs and RAPs

DEPP 7.1 Application and purpose

EG 19.10 Enterprise Act 2002

EG 19.21 The conduct of investigations under the Payment Services Regulations

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