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MAR 5.3 Notification of establishment of an ATS
As Published: 2004
MAR 5.3 Notification of establishment of an ATS
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COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
As Published: 2004
COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
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REC 2.8 Settlement and clearing services
As Published: 2004
REC 2.8 Settlement and clearing services
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COLL 7.2 Suspension and restart of dealings
As Published: 2004
COLL 7.2 Suspension and restart of dealings
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DISP 1.3 Internal complaint handling procedures: additional requirements
As Published: 2003
DISP 1.3 Internal complaint handling procedures: additional requirements
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SUP 6.3 Applications for variation of permission
As Published: 2001
SUP 6.3 Applications for variation of permission
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REC 6.1 Introduction and legal background
As Published: 2001
REC 6.1 Introduction and legal background
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SYSC 8.1 General outsourcing requirements [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]
As Published: 2006
SYSC 8.1 General outsourcing requirements [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]
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MAR 1.6 Market abuse (manipulating transactions)
As Published: 2005
MAR 1.6 Market abuse (manipulating transactions)
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COLL 5.5 Cash, borrowing, lending and other provisions
As Published: 2006
COLL 5.5 Cash, borrowing, lending and other provisions
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SUP 3.6 Firms' cooperation with their auditors
As Published: 2001
SUP 3.6 Firms' cooperation with their auditors
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