Search Result
REC 2.5 Systems and controls, algorithmic trading and conflicts
As Published: 2004
REC 2.5 Systems and controls, algorithmic trading and conflicts
…
LR 4.2 Contents and format of listing particulars
As Published: 2012
LR 4.2 Contents and format of listing particulars
…
REC 6A.2 Removal of passport rights from EEA market operator
As Published: 2007
REC 6A.2 Removal of passport rights from EEA market operator
…
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
As Published: 2010
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
…
EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers
As Published: 2016
EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers
…
SYSC 8.1 General outsourcing requirements
As Published: 2006
SYSC 8.1 General outsourcing requirements
…
COLL 7.2 Suspension and restart of dealings
As Published: 2008
COLL 7.2 Suspension and restart of dealings
…
SUP 10A.8 Systems and controls functions
As Published: 2013
SUP 10A.8 Systems and controls functions
…
SUP App 2.14A Fairness issues for with-profit firms in difficulty or in an irregular situation
As Published: 2015
SUP App 2.14A Fairness issues for with-profit firms in difficulty or in an irregular situation
…