Search Result
SYSC 9.1 General rules on record-keeping
As Published: 2007
SYSC 9.1 General rules on record-keeping
…
REC 2A.3 Guidance on RAP recognition requirements
As Published: 2012
REC 2A.3 Guidance on RAP recognition requirements
…
IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A CATEGORY B FIRM
As Published: 2015
IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A CATEGORY B FIRM
…
MAR 7A.3 Requirements for algorithmic trading
As Published: 2017
MAR 7A.3 Requirements for algorithmic trading
…
COLL 7.2 Suspension and restart of dealings
As Published: 2008
COLL 7.2 Suspension and restart of dealings
…
PERG 4.8 Administering a regulated mortgage contract
As Published: 2008
PERG 4.8 Administering a regulated mortgage contract
…
PERG 10.4A The application of EU Directives
As Published: 2006
PERG 10.4A The application of EU Directives
…
CASS 5.8 Safe keeping of client's documents and other assets
As Published: 2010
CASS 5.8 Safe keeping of client's documents and other assets
…
BIPRU 13.8 Securities financing transactions
As Published: 2006
BIPRU 13.8 Securities financing transactions
…
COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
As Published: 2007
COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
…