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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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REC 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts

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DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

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EG 10.4 Other relevant powers

As Published: 2016

EG 10.4 Other relevant powers

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SUP 10A.3 Provisions related to the Act

As Published: 2013

SUP 10A.3 Provisions related to the Act

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SYSC 3.2 Areas covered by systems and controls

As Published: 2002

SYSC 3.2 Areas covered by systems and controls

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EG 2.1 Case selection and the use of enforcement powers

As Published: 2016

EG 2.1 Case selection and the use of enforcement powers

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EG 2.2 Case selection and referral criteria

EG 4.11 Approach to interviews and interview procedures

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

FIT 2.1 Honesty, integrity and reputation

PERG 8.4 Invitation or inducement

DEPP 6.5A The five steps for penalties imposed on firms

RCB 3.2 Annual confirmations of compliance and asset pool monitor

LR 8.6 Criteria for approval as a sponsor

GENPRU 3.1 Application

LR 5.2 Cancelling listing

FEES 3.2 Obligation to pay fees

COLL 2.1 Authorised fund applications

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