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

…

SYSC 18.6 Whistleblowing obligations under MiFID and other EU legislation

As Published: 2017

SYSC 18.6 Whistleblowing obligations under MiFID and other EU legislation

…

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

…

FEES 3.1 Introduction

As Published: 2005

FEES 3.1 Introduction

…

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?

…

IFPRU 1.1 Application and Purpose

As Published: 2014

IFPRU 1.1 Application and Purpose

…

COCON 1.2 Investments

As Published: 2015

COCON 1.2 Investments

…

SYSC 19E.2 Remuneration policies and practices

As Published: 2016

SYSC 19E.2 Remuneration policies and practices

…

CONC 12.1 Application and purpose

As Published: 2013

CONC 12.1 Application and purpose

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

PERG 13.5 Exemptions from MiFID

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

COLL 4.3 Approvals and notifications

REC 2.3 Financial resources

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

REC 3.26 Proposals to make regulatory provision

DTR 8.4 Continuing obligations

BIPRU 4.3 The IRB approach: Provisions common to different exposure classes

REC 3.3 Waivers

EG 10.6 Applications for injunctions under regulation 12 of the Unfair Terms Regulations or Schedule 3 to the CRA : the FCA 's policy

PERG 10.5 Employers and affinity groups (such as trade unions)

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