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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

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MAR 7A.3 Requirements for algorithmic trading

As Published: 2017

MAR 7A.3 Requirements for algorithmic trading

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LR 10.8 Miscellaneous

As Published: 2007

LR 10.8 Miscellaneous

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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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MAR 5.3A Systems and controls for algorithmic trading

As Published: 2017

MAR 5.3A Systems and controls for algorithmic trading

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SYSC 19A.1 General application and purpose

As Published: 2010

SYSC 19A.1 General application and purpose

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RCB 2.2 Applying for registration

As Published: 2011

RCB 2.2 Applying for registration

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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

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Similar To

GEN 4.3 Letter disclosure

MCOB 3A.1 Application and purpose

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

COND 2.5 Suitability

REC 2.10 Financial crime and market abuse

SYSC 2.1 Apportionment of Responsibilities

REC 3.26 Proposals to make regulatory provision

DTR 4.4 Exemptions

CASS 1A.3 Responsibility for CASS operational oversight

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

LR 2.2 Requirements for all securities

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]