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MAR 5.5 Monitoring compliance with the rules of the MTF
As Published: 2003
MAR 5.5 Monitoring compliance with the rules of the MTF
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EG 4.14 Joint investigations with the PRA
As Published: 2016
EG 4.14 Joint investigations with the PRA
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MAR 5A.7 Monitoring compliance with the rules of the OTF
As Published: 2017
MAR 5A.7 Monitoring compliance with the rules of the OTF
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COBS 11.5 Record keeping: client orders and transactions [deleted]
As Published: 2017
COBS 11.5 Record keeping: client orders and transactions [deleted]
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COBS 2.2 Information disclosure before providing services (other than MiFID and insurance distribution)
As Published: 2008
COBS 2.2 Information disclosure before providing services (other than MiFID and insurance distribution)
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EG 19.21 The conduct of investigations under the Payment Services Regulations
As Published: 2016
EG 19.21 The conduct of investigations under the Payment Services Regulations
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RCB 4.2 Enforcement powers and penalties
As Published: 2010
RCB 4.2 Enforcement powers and penalties
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PERG 8.8 Having an effect in the United Kingdom
As Published: 2005
PERG 8.8 Having an effect in the United Kingdom
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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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EG 12.3 Criminal prosecutions in cases of market abuse
As Published: 2016
EG 12.3 Criminal prosecutions in cases of market abuse
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