Search Result
PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance
As Published: 2018
PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance
…
MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral
As Published: 2007
MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral
…
MIPRU 4.2 Capital resources requirements
As Published: 2006
MIPRU 4.2 Capital resources requirements
…
RCB 4.2 Enforcement powers and penalties
As Published: 2010
RCB 4.2 Enforcement powers and penalties
…
CASS 11.9 Segregation and the operation of client money accounts
As Published: 2014
CASS 11.9 Segregation and the operation of client money accounts
…
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
As Published: 2010
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
…
REC 5.1 Introduction and legal background
As Published: 2011
REC 5.1 Introduction and legal background
…
CASS 1.2 General application: who? what?
As Published: 2003
CASS 1.2 General application: who? what?
…
DEPP 8.4 Use of the own-initiative variation of approval power in urgent cases
As Published: 2015
DEPP 8.4 Use of the own-initiative variation of approval power in urgent cases
…
CREDS 7.1 Application, purpose and interpretation
As Published: 2011
CREDS 7.1 Application, purpose and interpretation
…
EG 4.6 What a subject of investigation can say to third parties
As Published: 2016
EG 4.6 What a subject of investigation can say to third parties
…