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

…

SUP App 3.3 Background

As Published: 2004

SUP App 3.3 Background

…

MAR 8.3 Requirements for benchmark administrators

As Published: 2015

MAR 8.3 Requirements for benchmark administrators

…

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

…

SUP 14.3 Changes to cross border services

As Published: 2002

SUP 14.3 Changes to cross border services

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COBS 4.13 UCITS

PR 2.3 Minimum information to be included in a prospectus

SYSC 8.1 General outsourcing requirements

SYSC 5.1 Skills, knowledge and expertise

CASS 7.11 Treatment of client money

BIPRU 4.4 The IRB approach: Exposures to corporates, institutions and sovereigns

DTR 6.3 Dissemination of information

SYSC 3.2 Areas covered by systems and controls

COLL 8.1 Introduction

ICOBS 6.4 Pre- and post-contract information: protection policies

COLL 8.6 Termination, suspension, and schemes of arrangement

LR 15.6 Notifications and periodic financial information

LR 10.2 Classifying transactions

BIPRU 7.9 Use of a CAD 1 model

CASS 6.6 Records, accounts and reconciliations

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

SUP App 3.3 Background

MAR 8.3 Requirements for benchmark administrators

DTR 5.4 Aggregation of managed holdings

SUP 14.3 Changes to cross border services