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EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974

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DEPP 2.2 Warning notices and first supervisory notices

As Published: 2007

DEPP 2.2 Warning notices and first supervisory notices

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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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PERG 7.7 Post-certification issues

As Published: 2005

PERG 7.7 Post-certification issues

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REC 6.3 Recognition requirements

As Published: 2004

REC 6.3 Recognition requirements

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SUP 16.5 Annual Close Links Reports

As Published: 2001

SUP 16.5 Annual Close Links Reports

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FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

As Published: 2012

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

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EG 15.1 Introduction

EG 9.1 Introduction

REC 6.5 FCA decision on recognition

REC 4.9 Disciplinary measures

CASS 8.3 Records and internal controls

EG 11.4 Determining the amount of restitution

MIPRU 3.2 Professional indemnity insurance requirements

SUP 10A.8 Systems and controls functions

LR 14.2 Requirements for listing

COLL 8.3 Investor relations

MAR 7A.3 Requirements for algorithmic trading

DTR 5.8 Procedures for the notification and disclosure of major holdings

BIPRU 7.4 Commodity PRR

EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974