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841 - 860 of 1303 items.
REC 3.17 Inability to discharge regulatory functions
As Published: 2013
REC 3.17 Inability to discharge regulatory functions
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MAR 8.2 Requirements for benchmark submitters
As Published: 2013
MAR 8.2 Requirements for benchmark submitters
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SYSC 13.4 Requirements to notify the appropriate regulator
As Published: 2006
SYSC 13.4 Requirements to notify the appropriate regulator
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LR 10.7 Transactions by specialist companies
As Published: 2010
LR 10.7 Transactions by specialist companies
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SUP 5.2 The appropriate regulator’s power
As Published: 2001
SUP 5.2 The appropriate regulator’s power
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REC 3.22 Restriction of, or instruction to close out, open positions
As Published: 2011
REC 3.22 Restriction of, or instruction to close out, open positions
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COBS 4.5 Communicating with retail clients
As Published: 2008
COBS 4.5 Communicating with retail clients
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