Search Result
LR 9.7A Preliminary statement of annual results, statement of dividends and half-yearly reports
As Published: 2006
LR 9.7A Preliminary statement of annual results, statement of dividends and half-yearly reports
…
CASS 5.8 Safe keeping of client's documents and other assets
As Published: 2010
CASS 5.8 Safe keeping of client's documents and other assets
…
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
…
SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
…
DTR 5.5 Acquisition or disposal by issuer of shares
As Published: 2007
DTR 5.5 Acquisition or disposal by issuer of shares
…
REC 2.8 Settlement and clearing services
As Published: 2004
REC 2.8 Settlement and clearing services
…
COLL 7.2 Suspension and restart of dealings
As Published: 2008
COLL 7.2 Suspension and restart of dealings
…
DISP 1.5 Complaints resolved by close of the next business day
As Published: 2002
DISP 1.5 Complaints resolved by close of the next business day
…
SUP 16.13 Reporting under the Payment Services Regulations
As Published: 2010
SUP 16.13 Reporting under the Payment Services Regulations
…
SUP 5.3 Policy on the use of skilled persons
As Published: 2005
SUP 5.3 Policy on the use of skilled persons
…