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]

…

SUP 10A.9 Significant management functions [deleted]

As Published: 2014

SUP 10A.9 Significant management functions [deleted]

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

EG 4.11 Approach to interviews and interview procedures

DISP App 3.9 Other matters concerning redress at steps 1 and 2

PERG 13.3 Investment Services and Activities

LR 4.4 Miscellaneous

LR 20.4 Continuing obligations

DISP App 3.11 Obligation to write letters to certain rejected complainants

CONC 5A.2 Prohibition from entering into agreements for high-cost short-term credit

IFPRU 11.4 Information for resolution plans

CASS 5.1 Application

DTR 5.6 Disclosures by issuers

EG 6.9 The Financial Services register: publication of disciplinary measures against auditors and actuaries (see chapter 15)

COBS 4.11 Record keeping: financial promotion

EG 19.13 The Consumer Protection Co-operation Regulation [deleted]

EG 10.1 Introduction

REC 6.3 Recognition requirements

COBS 4.2 Fair, clear and not misleading communications

REC 2.17 Recognition requirements relating to the default rules of UK RIEs

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

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]

SUP 10A.9 Significant management functions [deleted]