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REC 2.12 Availability of relevant information and admission of financial instruments to trading
As Published: 2004
REC 2.12 Availability of relevant information and admission of financial instruments to trading
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CASS 9.4 Information to clients concerning custody assets and client money
As Published: 2014
CASS 9.4 Information to clients concerning custody assets and client money
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COBS 9.1 Application and purpose provisions
As Published: 2007
COBS 9.1 Application and purpose provisions
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DTR 5.8 Procedures for the notification and disclosure of major holdings
As Published: 2007
DTR 5.8 Procedures for the notification and disclosure of major holdings
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BIPRU 5.5 Other funded credit risk mitigation
As Published: 2010
BIPRU 5.5 Other funded credit risk mitigation
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DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
As Published: 2010
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
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MAR 7A.5 Requirements when acting as a general clearing member
As Published: 2017
MAR 7A.5 Requirements when acting as a general clearing member
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PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
As Published: 2005
PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
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PERG 10.4 Pension scheme service providers other than trustees
As Published: 2006
PERG 10.4 Pension scheme service providers other than trustees
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EG 10.5 Section 198: the FCA’s policy [deleted]
As Published: 2016
EG 10.5 Section 198: the FCA’s policy [deleted]
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DISP App 3.10 Application: evidential provisions and guidance
As Published: 2017
DISP App 3.10 Application: evidential provisions and guidance
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