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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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SYSC 19C.3 Remuneration principles

As Published: 2014

SYSC 19C.3 Remuneration principles

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EG 19.6 Regulated Activities Order 2001 (RAO)

As Published: 2016

EG 19.6 Regulated Activities Order 2001 (RAO)

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EG 6.3 Decisions against ECA providers

CASS 7.10 Application and purpose

SYSC 4.9

PERG 8.37 AIFMD Marketing

PERG 2.5 Investments and activities: general

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

EG 19.25 Recognised Auction Platforms Regulations 2011

EG 13.5 Petitions for administration orders or compulsory winding up orders: determining which insolvency order to seek

EG 4.9 Involvement of FCA supervisors during the investigation phase

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

APER 4.5 Statement of Principle 5

REC 6A.1 Exercise of passport rights by EEA market operator

PR 4.2 Third country issuers

EG 19.3 Credit Unions Act 1979 (CUA79) and Credit Unions (Northern Ireland) Order 1985 (CU(NI)O85)

FEES 13.1 Application and purpose

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

SUP 3.3 Appointment of auditors

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