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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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COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

As Published: 2007

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

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COLL 5.8 Investment powers and borrowing limits for feeder UCITS

As Published: 2011

COLL 5.8 Investment powers and borrowing limits for feeder UCITS

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REC 4.5 FCA supervision of action by UK RIEs under their default rules

As Published: 2013

REC 4.5 FCA supervision of action by UK RIEs under their default rules

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Similar To

LR 19.1 Application

PERG 9.1 Application and Purpose

APER 3.1 Introduction

PERG 10.2 General issues

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

IFPRU 11.4 Information for resolution plans

PERG 15.4 Small payment institutions, agents and exempt bodies

FEES 13.1 Application and purpose

REC 3.8 Financial and other information

LR 6.5 Controlling shareholders

SUP 3.8 Rights and duties of auditors

EG 4.2 Notifying the person under investigation where notice is not required under the Act

MCOB 7.6 Mortgages: event-driven information

SYSC 1.4 Application of SYSC 11 to 28

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

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

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

COLL 5.8 Investment powers and borrowing limits for feeder UCITS

REC 4.5 FCA supervision of action by UK RIEs under their default rules