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REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
As Published: 2007
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
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SUP 16.15 Reporting under the Electronic Money Regulations
As Published: 2011
SUP 16.15 Reporting under the Electronic Money Regulations
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PR 3.2 Filing and publication of prospectus
As Published: 2012
PR 3.2 Filing and publication of prospectus
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COLL 3.2 The instrument constituting the fund
As Published: 2004
COLL 3.2 The instrument constituting the fund
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MCOB 2.9 Restriction on marketing or providing an optional product for which a fee is payable
As Published: 2015
MCOB 2.9 Restriction on marketing or providing an optional product for which a fee is payable
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SUP 10C.8 The other local responsibility function (SMF22)
As Published: 2015
SUP 10C.8 The other local responsibility function (SMF22)
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EG 3.3 Reports by skilled persons (section 166)
As Published: 2016
EG 3.3 Reports by skilled persons (section 166)
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EG 15.3 Disqualification under section 345
As Published: 2016
EG 15.3 Disqualification under section 345
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FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
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EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling
As Published: 2016
EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling
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EG 13.2 The FCA’s general approach to use of its powers and rights in insolvency proceedings
As Published: 2016
EG 13.2 The FCA’s general approach to use of its powers and rights in insolvency proceedings
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PERG 8.8 Having an effect in the United Kingdom
As Published: 2005
PERG 8.8 Having an effect in the United Kingdom
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CONC 8.10 Conduct of business: providing credit information services
As Published: 2014
CONC 8.10 Conduct of business: providing credit information services
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EG 19.27 Alternative Investment Fund Managers Regulations 2013
As Published: 2016
EG 19.27 Alternative Investment Fund Managers Regulations 2013
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