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

…

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

…

MAR 7A.1 Application

As Published: 2017

MAR 7A.1 Application

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

EG 19.33 The Small and Medium Sized Business (Finance Platforms) Regulations 2015

FEES 2.1 Introduction

EG 19.31 The Small and Medium Sized Business (Credit Information) Regulations

EG 19.32 The Payment Accounts Regulations 2015

SUP 7.2 The FCA's powers to set individual requirements and limitations on its own initiative

SYSC 18.4 The whistleblowers’ champion

SYSC 6.2 Internal audit

CONC 3.3 The clear fair and not misleading rule and general requirements

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

DISP 2.3 To which activities does the Compulsory Jurisdiction apply?

EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)

REC 4.2B Exercise of passport rights by a UK RIE

PERG 9.6 The investment condition (section 236(3) of the Act): general

EG 10.3 Asset-freezing injunctions

COBS 11.8 Recording telephone conversations and electronic communications [deleted]

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

PR 2.2 Format of prospectus

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