Search Result
SUP 15A.1 Application and notifications under EMIR
As Published: 2013
SUP 15A.1 Application and notifications under EMIR
…
DEPP 6A.3 Determining the appropriate length of the period of suspension or restriction
As Published: 2011
DEPP 6A.3 Determining the appropriate length of the period of suspension or restriction
…
DEPP 6A.4 The interaction between the power to impose suspensions or restrictions and the power to impose penalties or public censures
As Published: 2013
DEPP 6A.4 The interaction between the power to impose suspensions or restrictions and the power to impose penalties or public censures
…
LR 8.6 Criteria for approval as a sponsor
As Published: 2005
LR 8.6 Criteria for approval as a sponsor
…
SYSC 19C.1 General application and purpose
As Published: 2014
SYSC 19C.1 General application and purpose
…
BIPRU 12.9 Individual liquidity guidance and regulatory intervention points
As Published: 2012
BIPRU 12.9 Individual liquidity guidance and regulatory intervention points
…
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
…
REC 2.5 Systems and controls and conflicts
As Published: 2004
REC 2.5 Systems and controls and conflicts
…
MAR 5.7 Pre-trade transparency requirements for shares
As Published: 2007
MAR 5.7 Pre-trade transparency requirements for shares
…
CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank
As Published: 2014
CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank
…