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 12.5 Contracts: required terms

As Published: 2002

SUP 12.5 Contracts: required terms

…

COCON 4.1 Specific guidance on individual conduct rules

As Published: 2015

COCON 4.1 Specific guidance on individual conduct rules

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

MAR 8.3 Requirements for benchmark administrators

SUP 15.3 General notification requirements

DTR 6.1 Information requirements for issuers of shares and debt securities

LR 3.3 Shares

PERG 11.2 Guidance on property investment clubs

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

CREDS 2.2 General provisions

MCOB 5.6 Content of illustrations

COLL 6.3 Valuation and pricing

LR 14.3 Continuing obligations

APER 4.1 Statement of Principle 1

IPRU-INV 13.1A Capital resources and professional indemnity insurance requirements for an exempt CAD firm

LR 3.4 Debt and other securities

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

SUP 16.12 Integrated Regulatory Reporting

LR 5.4A Transfer between listing categories: Equity shares

PERG 16.5 How AIFMD affects other regulated activities

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 12.5 Contracts: required terms

COCON 4.1 Specific guidance on individual conduct rules