Search Result
REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading
As Published: 2004
REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading
…
SUP 3.10 Duties of auditors: notification and report on client assets
As Published: 2004
SUP 3.10 Duties of auditors: notification and report on client assets
…
PERG 7.4 Does the article 54 exclusion apply?
As Published: 2006
PERG 7.4 Does the article 54 exclusion apply?
…
PERG 2.10 Persons carrying on regulated activities who do not need authorisation
As Published: 2006
PERG 2.10 Persons carrying on regulated activities who do not need authorisation
…
REC 3.14A Operation of a regulated market or MTF
As Published: 2007
REC 3.14A Operation of a regulated market or MTF
…
SUP 6.4 Applications for cancellation of permission
As Published: 2004
SUP 6.4 Applications for cancellation of permission
…
SUP 11.3 Requirements on controllers or proposed controllers under the Act
As Published: 2001
SUP 11.3 Requirements on controllers or proposed controllers under the Act
…
SUP 5.4 Appointment and reporting process
As Published: 2001
SUP 5.4 Appointment and reporting process
…