Search Result

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

…

CASS 11.9 Segregation and the operation of client money accounts

As Published: 2014

CASS 11.9 Segregation and the operation of client money accounts

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COBS 10.6 When a firm need not assess appropriateness

COBS 18.10 UCITS qualifiers, AIFM qualifiers and service companies

LR 18.2 Requirements for listing

COBS 3.3 General notifications

COBS 3.4 Retail clients

COBS 18.4 Stock lending activity

COBS 19.3 Product disclosure to members of occupational pension schemes

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?

REC 4.2D Suspension and removal of financial instruments from trading

COBS 4.3 Financial promotions to be identifiable as such

SUP 11.6 Subsequent notification requirements by firms

SUP 14.6 Cancelling qualification for authorisation

PERG 8.8 Having an effect in the United Kingdom

SUP 3.2 Purpose

PERG 8.17A Financial promotions concerning insurance mediation activities

COLL 12.4 UCITS product passport

CASS 1.2 General application: who? what?

SUP 2.4 'Mystery shopping'

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

CASS 11.9 Segregation and the operation of client money accounts