Search Result
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
…
EG 5.4 Multiple parties and third party rights in enforcement action involving warning and decision notices
As Published: 2016
EG 5.4 Multiple parties and third party rights in enforcement action involving warning and decision notices
…
LR 9.2 Requirements with continuing application
As Published: 2006
LR 9.2 Requirements with continuing application
…
CASS 1.4 Application: particular activities
As Published: 2007
CASS 1.4 Application: particular activities
…
EG 4.11 Approach to interviews and interview procedures
As Published: 2016
EG 4.11 Approach to interviews and interview procedures
…
TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
…
CASS 11.4 Definition of client money and the discharge of fiduciary duty
As Published: 2014
CASS 11.4 Definition of client money and the discharge of fiduciary duty
…
EG 8.3 Use of the own-initiative powers in urgent cases
As Published: 2016
EG 8.3 Use of the own-initiative powers in urgent cases
…
COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs
As Published: 2010
COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs
…
DISP 2.3 To which activities does the Compulsory Jurisdiction apply?
As Published: 2003
DISP 2.3 To which activities does the Compulsory Jurisdiction apply?
…
MAR 8.2 Requirements for benchmark submitters
As Published: 2013
MAR 8.2 Requirements for benchmark submitters
…