Search Result
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
…
BIPRU 13.8 Securities financing transactions
As Published: 2006
BIPRU 13.8 Securities financing transactions
…
COLL 7.5 Schemes or sub-funds that are not commercially viable
As Published: 2013
COLL 7.5 Schemes or sub-funds that are not commercially viable
…
PERG 7.5 When is it appropriate to apply for a certificate?
As Published: 2005
PERG 7.5 When is it appropriate to apply for a certificate?
…
REC 2.13 Promotion and maintenance of standards
As Published: 2004
REC 2.13 Promotion and maintenance of standards
…
FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
As Published: 2012
FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
…
SUP 17.4 Information in transaction reports
As Published: 2007
SUP 17.4 Information in transaction reports
…
DEPP 6.4 Financial penalty or public censure
As Published: 2010
DEPP 6.4 Financial penalty or public censure
…
FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
…
CONC 8.10 Conduct of business: providing credit information services
As Published: 2014
CONC 8.10 Conduct of business: providing credit information services
…
DTR 5.8 Procedures for the notification and disclosure of major holdings
As Published: 2007
DTR 5.8 Procedures for the notification and disclosure of major holdings
…
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
…