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EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

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CONC 3.3 The clear fair and not misleading rule and general requirements

As Published: 2014

CONC 3.3 The clear fair and not misleading rule and general requirements

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MAR 1.4 Unlawful disclosure

As Published: 2001

MAR 1.4 Unlawful disclosure

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PERG 9.11 Frequently Asked Questions

As Published: 2005

PERG 9.11 Frequently Asked Questions

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PERG 8.34 The business test

As Published: 2018

PERG 8.34 The business test

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COLL 3.3 Units

As Published: 2007

COLL 3.3 Units

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SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

As Published: 2017

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

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SYSC 10.2 Chinese walls

As Published: 2007

SYSC 10.2 Chinese walls

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MAR 9.4 Supervisory regime

DTR 1.4 Suspension of trading

SYSC 4.9

COBS 11.8 Recording telephone conversations and electronic communications [deleted]

REC 3.22 Restriction of, or instruction to close out, open positions

SUP 8.7 Varying waivers

RCB 3.4 Covered Bond issuance notifications

MAR 5.6 Reporting requirements

EG 3.2A Information requests (section 122A)

EG 9.5 Prohibition orders against other individuals

DTR 8.3 Criteria for approval as a primary information provider

COLL 1.2 Types of authorised fund