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CASS 11.3 Responsibility for CASS operational oversight
As Published: 2015
CASS 11.3 Responsibility for CASS operational oversight
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SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements
As Published: 2001
SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements
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PERG 8.12 Exemptions applying to all controlled activities
As Published: 2005
PERG 8.12 Exemptions applying to all controlled activities
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SUP 15.11 Notification of COCON breaches and disciplinary action
As Published: 2015
SUP 15.11 Notification of COCON breaches and disciplinary action
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LR 8.6 Criteria for approval as a sponsor
As Published: 2005
LR 8.6 Criteria for approval as a sponsor
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REC 2.5 Systems and controls, algorithmic trading and conflicts
As Published: 2004
REC 2.5 Systems and controls, algorithmic trading and conflicts
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DEPP 3.1 The Regulatory Decisions Committee
As Published: 2007
DEPP 3.1 The Regulatory Decisions Committee
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TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
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SUP 10C.12 Conditional and time-limited approvals
As Published: 2015
SUP 10C.12 Conditional and time-limited approvals
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EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling
As Published: 2016
EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling
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SUP 10A.11 Minimising overlap with the PRA approved persons regime [deleted]
As Published: 2015
SUP 10A.11 Minimising overlap with the PRA approved persons regime [deleted]
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