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 9.3 Prime brokerage agreement disclosure annex

As Published: 2010

CASS 9.3 Prime brokerage agreement disclosure annex

…

PERG 13.7 The territorial application of MiFID

As Published: 2007

PERG 13.7 The territorial application of MiFID

…

GEN 4.2 Purpose

As Published: 2003

GEN 4.2 Purpose

…

PERG 8.12 Exemptions applying to all controlled activities

As Published: 2005

PERG 8.12 Exemptions applying to all controlled activities

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

REC 2.5 Systems and controls and conflicts

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

APER 4.7 Statement of Principle 7

LR 13.5 Financial information in Class 1 Circulars

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

CASS 7.14 Client money held by a third party

CONC 14.1 Application

CASS 7.12 Organisational requirements: client money

SYSC 13.9 Outsourcing

SUP 16.23 Annual Financial Crime Report

COLL 6.2 Dealing

SYSC 6.1 Compliance

LR 15.4 Continuing obligations

LR 15.2 Requirements for listing

ICOBS 2.1 Client categorisation

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 9.3 Prime brokerage agreement disclosure annex

PERG 13.7 The territorial application of MiFID

GEN 4.2 Purpose

PERG 8.12 Exemptions applying to all controlled activities