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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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SYSC 4 Annex 1

As Published: 2015

SYSC 4 Annex 1

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LR 7.2 The Listing and Premium Listing Principles

As Published: 2009

LR 7.2 The Listing and Premium Listing Principles

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REC 3.25 Significant breaches of rules and disorderly trading conditions

As Published: 2007

REC 3.25 Significant breaches of rules and disorderly trading conditions

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

As Published: 2010

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

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Similar To

SYSC 14.1 Application

SYSC 2.1 Apportionment of Responsibilities

GEN 4.3 Letter disclosure

COND 2.5 Suitability

REC 2.10 Financial crime and market abuse

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

REC 3.26 Proposals to make regulatory provision

DTR 4.4 Exemptions

COCON 4.2 Specific guidance on senior manager conduct rules

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

MAR 5.3A Systems and controls for algorithmic trading

MAR 7A.3 Requirements for algorithmic trading

CASS 1A.3 Responsibility for CASS operational oversight

LR 2.2 Requirements for all securities

SYSC 19A.1 General application and purpose

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]

SYSC 4 Annex 1

LR 7.2 The Listing and Premium Listing Principles

REC 3.25 Significant breaches of rules and disorderly trading conditions

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