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SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

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BIPRU 7.10 Use of a Value at Risk Model

As Published: 2007

BIPRU 7.10 Use of a Value at Risk Model

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COLL 6.2 Dealing

As Published: 2005

COLL 6.2 Dealing

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CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

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LR 17.3 Requirements with continuing application

As Published: 2006

LR 17.3 Requirements with continuing application

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REC 4.2A Publication of information by UK RIEs

As Published: 2007

REC 4.2A Publication of information by UK RIEs

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REC 2.9 Transaction recording

SYSC 6.1 Compliance

DTR 6.1 Information requirements for issuers of shares and debt securities

LR App 1.1 Relevant definitions

PERG 13.3 Investment Services and Activities

REC 4.2B Exercise of passport rights by a UK RIE

REC 2.10 Financial crime and market abuse

DTR 5.4 Aggregation of managed holdings

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

REC 3.6 Constitution and governance

COLL 4.5 Reports and accounts

RCB 2.3 Determination of registration

CASS 6.1 Application

COLL 8.3 Investor relations

SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

BIPRU 7.10 Use of a Value at Risk Model

COLL 6.2 Dealing

CASS 5.5 Segregation and the operation of client money accounts

LR 17.3 Requirements with continuing application

REC 4.2A Publication of information by UK RIEs