Search Result
REC 4.2E Information: compliance of UK RIEs with the MiFID Regulation and Auction Regulation
As Published: 2007
REC 4.2E Information: compliance of UK RIEs with the MiFID Regulation and Auction Regulation
…
CASS 5.4 Non-statutory client money trust
As Published: 2004
CASS 5.4 Non-statutory client money trust
…
DTR 1A.1 Application and purpose (Transparency rules)
As Published: 2006
DTR 1A.1 Application and purpose (Transparency rules)
…
COBS 14.3 Information about designated investments
As Published: 2007
COBS 14.3 Information about designated investments
…
MAR 1.6 Market abuse (manipulating transactions)
As Published: 2005
MAR 1.6 Market abuse (manipulating transactions)
…
COBS 13.1 The obligation to prepare product information
As Published: 2007
COBS 13.1 The obligation to prepare product information
…
PERG 7.3 Does the activity require authorisation?
As Published: 2006
PERG 7.3 Does the activity require authorisation?
…
TC App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3
As Published: 2007
TC App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3
…
CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties
As Published: 2007
CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties
…