Search Result
REC 4.6A The section 192C power to direct qualifying parent undertakings
As Published: 2013
REC 4.6A The section 192C power to direct qualifying parent undertakings
…
CASS 9.3 Prime brokerage agreement disclosure annex
As Published: 2010
CASS 9.3 Prime brokerage agreement disclosure annex
…
SYSC 22.7 Getting references: additional rules and guidance for full scope regulatory reference firms
As Published: 2016
SYSC 22.7 Getting references: additional rules and guidance for full scope regulatory reference firms
…
PERG 9.4 Collective investment scheme (section 235 of the Act)
As Published: 2011
PERG 9.4 Collective investment scheme (section 235 of the Act)
…
SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
…
FEES 2.2 Late Payments and Recovery of Unpaid Fees
As Published: 2006
FEES 2.2 Late Payments and Recovery of Unpaid Fees
…
MAR 5.10 Operation of an SME growth market
As Published: 2017
MAR 5.10 Operation of an SME growth market
…
COCON 4.1 Specific guidance on individual conduct rules
As Published: 2015
COCON 4.1 Specific guidance on individual conduct rules
…
MAR 5.3A Systems and controls for algorithmic trading
As Published: 2017
MAR 5.3A Systems and controls for algorithmic trading
…