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MAR 5A.5 Systems and controls for algorithmic trading
As Published: 2017
MAR 5A.5 Systems and controls for algorithmic trading
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CONC 5A.5 Consequences of contravention of the cost caps
As Published: 2015
CONC 5A.5 Consequences of contravention of the cost caps
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COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
As Published: 2005
COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
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PERG 4.6 Advising on regulated mortgage contracts
As Published: 2006
PERG 4.6 Advising on regulated mortgage contracts
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CASS 1A.3 Responsibility for CASS operational oversight
As Published: 2010
CASS 1A.3 Responsibility for CASS operational oversight
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CASS 11.3 Responsibility for CASS operational oversight
As Published: 2015
CASS 11.3 Responsibility for CASS operational oversight
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SUP 11.3 Requirements on controllers or proposed controllers under the Act
As Published: 2001
SUP 11.3 Requirements on controllers or proposed controllers under the Act
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MCOB 14.1 Handbook provisions which apply in respect of MCD article 3(1)(b) credit agreements
As Published: 2015
MCOB 14.1 Handbook provisions which apply in respect of MCD article 3(1)(b) credit agreements
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EG 9.3 Prohibition orders and withdrawal of approval - approved persons
As Published: 2015
EG 9.3 Prohibition orders and withdrawal of approval - approved persons
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REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
As Published: 2004
REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
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PERG 4.10 Exclusions applying to more than one regulated activity
As Published: 2014
PERG 4.10 Exclusions applying to more than one regulated activity
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COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes
As Published: 2011
COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes
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PERG 4.10B Regulation of buy to let lending
As Published: 2016
PERG 4.10B Regulation of buy to let lending
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CONC 10.2 Prudential resources requirements
As Published: 2014
CONC 10.2 Prudential resources requirements
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LR 13.5 Financial information in Class 1 Circulars
As Published: 2007
LR 13.5 Financial information in Class 1 Circulars
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