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

…

MAR 6.4 Systematic internaliser reporting requirement

As Published: 2017

MAR 6.4 Systematic internaliser reporting requirement

…

SUP 3.5 Auditors' independence

As Published: 2008

SUP 3.5 Auditors' independence

…

CREDS App 1.1 Key Definitions

As Published: 2011

CREDS App 1.1 Key Definitions

…

EG 3.1 Introduction

As Published: 2016

EG 3.1 Introduction

…

SUP 14.7 Cancellation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation

As Published: 2012

SUP 14.7 Cancellation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation

…

PERG 8.19 Additional restriction on the promotion of life policies

As Published: 2009

PERG 8.19 Additional restriction on the promotion of life policies

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

MAR 5.5 Monitoring compliance with the rules of the MTF

MAR 5A.6 Finalisation of transactions

CONC 2.4 Credit references: conduct of business: lenders and owners

MAR 5A.7 Monitoring compliance with the rules of the OTF

DEPP 8.1 Introduction

LR 8.1 Application

REC 4.2G Reports by skilled persons

DEPP 8.5 Effects of a breach of condition or time limitation

DISP App 3.2 The assessment of a complaint

EG 4.9 Involvement of FCA supervisors during the investigation phase

EG 4.12 Search and seizure powers

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

MCOB 13.7 Business loans and loans to high net worth mortgage customers: tailored provisions

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