Search Result
SUP 10A.5 Significant-influence functions
As Published: 2013
SUP 10A.5 Significant-influence functions
…
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
…
REC 3.14A Operation of a regulated market or MTF
As Published: 2007
REC 3.14A Operation of a regulated market or MTF
…
DISP 1.10A Complaints data publication rules
As Published: 2010
DISP 1.10A Complaints data publication rules
…
MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements
As Published: 2009
MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements
…
SUP 17.4 Information in transaction reports
As Published: 2007
SUP 17.4 Information in transaction reports
…
REC 6A.2 Removal of passport rights from EEA market operator
As Published: 2007
REC 6A.2 Removal of passport rights from EEA market operator
…
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
…