Search Result
COBS 4.11 Record keeping: financial promotion
As Published: 2007
COBS 4.11 Record keeping: financial promotion
…
CASS 9.3 Prime brokerage agreement disclosure annex
As Published: 2010
CASS 9.3 Prime brokerage agreement disclosure annex
…
EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013
As Published: 2016
EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013
…
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
…
DTR 1B.1 Application and purpose (Corporate governance)
As Published: 2008
DTR 1B.1 Application and purpose (Corporate governance)
…
BIPRU 12.5 Individual Liquidity Adequacy Standards
As Published: 2009
BIPRU 12.5 Individual Liquidity Adequacy Standards
…
REC 6A.2 Removal of passport rights from EEA market operator
As Published: 2007
REC 6A.2 Removal of passport rights from EEA market operator
…
MAR 5.10 Operation of an SME growth market
As Published: 2017
MAR 5.10 Operation of an SME growth market
…
SUP 10A.16 How to apply for approval and give notifications
As Published: 2014
SUP 10A.16 How to apply for approval and give notifications
…
COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
As Published: 2011
COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
…
EG 18.1 Cancellation on the FCA’s own-initiative
As Published: 2016
EG 18.1 Cancellation on the FCA’s own-initiative
…
MCOB 4.10 Home purchase plans: sales standards
As Published: 2006
MCOB 4.10 Home purchase plans: sales standards
…
IFPRU 11.4 Information for resolution plans
As Published: 2015
IFPRU 11.4 Information for resolution plans
…