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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 [deleted]

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COCON 4.2 Specific guidance on senior manager conduct rules

As Published: 2015

COCON 4.2 Specific guidance on senior manager conduct rules

…

SYSC 22.7 Getting references: additional rules and guidance for SMCR firms

As Published: 2016

SYSC 22.7 Getting references: additional rules and guidance for SMCR firms

…

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Similar To

GEN 4.3 Letter disclosure

DEPP 6A.3 Determining the appropriate length of the period of suspension, restriction, condition or disciplinary prohibition

COND 2.5 Suitability

REC 3.26 Proposals to make regulatory provision

LR 3.4 Debt and other securities

SYSC 4 Annex 1

MAR 7A.3 Requirements for algorithmic trading

MAR 5.3A Systems and controls for algorithmic trading

DTR 1B.1 Application and purpose (Corporate governance)

CASS 1A.3 Responsibility for CASS operational oversight

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

FEES 5.9 [deleted]

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

LR 4.2 Contents and format of listing particulars

CONC 8.3 Pre contract information and advice requirements

SYSC 19A.1 General application and purpose

REC 3.25 Significant breaches of rules and disorderly trading conditions

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]

COCON 4.2 Specific guidance on senior manager conduct rules

SYSC 22.7 Getting references: additional rules and guidance for SMCR firms