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CASS 5.8 Safe keeping of client's documents and other assets
As Published: 2010
CASS 5.8 Safe keeping of client's documents and other assets
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BIPRU 8.2 Scope and basic consolidation requirements for UK consolidation groups
As Published: 2007
BIPRU 8.2 Scope and basic consolidation requirements for UK consolidation groups
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SUP 3.6 Firms' cooperation with their auditors
As Published: 2007
SUP 3.6 Firms' cooperation with their auditors
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MCOB 3A.4 Qualifying credit financial promotions
As Published: 2015
MCOB 3A.4 Qualifying credit financial promotions
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BIPRU 1.3 Applications for advanced approaches and waivers
As Published: 2006
BIPRU 1.3 Applications for advanced approaches and waivers
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PERG 10.5 Employers and affinity groups (such as trade unions)
As Published: 2006
PERG 10.5 Employers and affinity groups (such as trade unions)
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FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
As Published: 2012
FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
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DEPP 8.2 Use of the own-initiative variation of approval power: general
As Published: 2015
DEPP 8.2 Use of the own-initiative variation of approval power: general
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SUP 15A.1 Application and notifications under EMIR
As Published: 2013
SUP 15A.1 Application and notifications under EMIR
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REC 4.2F Information gathering power on FCA’s own initiative
As Published: 2013
REC 4.2F Information gathering power on FCA’s own initiative
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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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EG 4.1 Notifying the person under investigation where notice is a requirement under section 170
As Published: 2016
EG 4.1 Notifying the person under investigation where notice is a requirement under section 170
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