Search Result
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
…
COLL 12.3 EEA UCITS management companies
As Published: 2013
COLL 12.3 EEA UCITS management companies
…
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
As Published: 2007
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
…
DTR 8.3 Criteria for approval as a primary information provider
As Published: 2014
DTR 8.3 Criteria for approval as a primary information provider
…
MCOB 1.2 General application: who? what?
As Published: 2005
MCOB 1.2 General application: who? what?
…
EG 19.9 Electronic commerce activity directions: the FCA’s policy
As Published: 2016
EG 19.9 Electronic commerce activity directions: the FCA’s policy
…
REC 4.3 Risk assessments for UK recognised bodies
As Published: 2013
REC 4.3 Risk assessments for UK recognised bodies
…
COCON 3.1 General factors for assessing compliance
As Published: 2016
COCON 3.1 General factors for assessing compliance
…
EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004
As Published: 2015
EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004
…