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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

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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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ICOBS 2.1 Client categorisation

As Published: 2007

ICOBS 2.1 Client categorisation

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CASS 9.3 Prime brokerage agreement disclosure annex

As Published: 2010

CASS 9.3 Prime brokerage agreement disclosure annex

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PERG 13.7 The territorial application of MiFID

As Published: 2007

PERG 13.7 The territorial application of MiFID

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Similar To

COBS 7.1 Application

COBS 14.1 Interpretation

COBS 16.5 Quotations for surrender values

COBS 15.1 Application

TC 3.1 Record-keeping requirements

REC 2.5 Systems and controls and conflicts

LR 13.5 Financial information in Class 1 Circulars

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

COLL 6.1 Introduction and Application

SYSC 13.9 Outsourcing

COLL 6.2 Dealing

SYSC 6.1 Compliance

LR 15.2 Requirements for listing

LR 15.4 Continuing obligations

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

PERG 8.12 Exemptions applying to all controlled activities

ICOBS 2.1 Client categorisation

CASS 9.3 Prime brokerage agreement disclosure annex

PERG 13.7 The territorial application of MiFID