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 [deleted]

…

EG 4.1 Notifying the person under investigation where notice is a requirement under section 170

As Published: 2016

EG 4.1 Notifying the person under investigation where notice is a requirement under section 170

…

EG 3.5 Official listing investigations (section 97)

As Published: 2016

EG 3.5 Official listing investigations (section 97)

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

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

SUP 8.1 Application and purpose

SUP 8.9 Decision making

REC 4.4 Complaints

PRIN 1.1 Application and purpose

DEPP 6.7 Discount for early settlement

LR 9.8 Annual financial report

EG 2.11 Senior management responsibility

SUP 15.13 Notification by CBTL firms

REC 6.8 Powers to supervise

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

LR 1.4 Miscellaneous

APER 4.6 Statement of Principle 6

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

IFPRU 6.3 Expectations relating to internal models

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

LR 6.2 Historical financial information requirements

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 [deleted]

EG 4.1 Notifying the person under investigation where notice is a requirement under section 170

EG 3.5 Official listing investigations (section 97)