Search Result

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]

…

EG 7.9 Suspensions of voting rights

As Published: 2016

EG 7.9 Suspensions of voting rights

…

REC 4.2A Publication of information by UK RIEs and RAPs

As Published: 2007

REC 4.2A Publication of information by UK RIEs and RAPs

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 2.4 'Mystery shopping'

CONC 2.1 Application

CONC 5.1 Application [deleted]

MCOB 5.4 Information on regulated mortgage contracts: general

FEES 6.5 Compensation costs

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

CASS 8.1 Application

MIPRU 2.2 Allocation of the responsibility for insurance distribution activity or MCD credit intermediation activity

SUP 10C.8 The other local responsibility function (SMF22)

FIT 2.1 Honesty, integrity and reputation

CASS 8.3 Records and internal controls

COBS 8.1 Client agreements: non-MiFID designated investment business

COBS 2.1 Acting honestly, fairly and professionally

SUP 16.21 Reporting under the MCD Order for CBTL firms

COBS 10.5 Assessing appropriateness: guidance

SUP 3.10 Duties of auditors: notification and report on client assets

DEPP 7.1 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]

EG 7.9 Suspensions of voting rights

REC 4.2A Publication of information by UK RIEs and RAPs