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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
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MCOB 2.9 Restriction on marketing or providing an optional product for which a fee is payable
As Published: 2015
MCOB 2.9 Restriction on marketing or providing an optional product for which a fee is payable
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MAR 6.4A Quotes in respect of non-equity instruments
As Published: 2017
MAR 6.4A Quotes in respect of non-equity instruments
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TC App 4.1 Appropriate Qualification tables
As Published: 2010
TC App 4.1 Appropriate Qualification tables
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REC 2.16B Operation of a data reporting service
As Published: 2017
REC 2.16B Operation of a data reporting service
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DEPP 6A.3A Determining the appropriate length of the period of limitation for approvals under section 59 of the Act
As Published: 2015
DEPP 6A.3A Determining the appropriate length of the period of limitation for approvals under section 59 of the Act
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MAR 5A.9 Suspension and removal of financial instruments
As Published: 2017
MAR 5A.9 Suspension and removal of financial instruments
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MAR 5.6A Suspension and removal of financial instruments
As Published: 2017
MAR 5.6A Suspension and removal of financial instruments
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MAR 7A.5 Requirements when acting as a general clearing member
As Published: 2017
MAR 7A.5 Requirements when acting as a general clearing member
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DTR 1.3 Information gathering and publication
As Published: 2016
DTR 1.3 Information gathering and publication
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APER 3.3 Factors relating to Statements of Principle 5 to 7
As Published: 2015
APER 3.3 Factors relating to Statements of Principle 5 to 7
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PERG 8.31 Exclusions for advising on investments
As Published: 2007
PERG 8.31 Exclusions for advising on investments
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