Search Result
LR 8.6 Criteria for approval as a sponsor
As Published: 2005
LR 8.6 Criteria for approval as a sponsor
…
COBS 19.5 Independent governance committees (IGCs)
As Published: 2015
COBS 19.5 Independent governance committees (IGCs)
…
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)
…
BIPRU 1.2 Definition of the trading book
As Published: 2010
BIPRU 1.2 Definition of the trading book
…
SYSC 4.2 Persons who effectively direct the business
As Published: 2008
SYSC 4.2 Persons who effectively direct the business
…
EG 19.34 Markets in Financial Instruments Regulations 2017
As Published: 2017
EG 19.34 Markets in Financial Instruments Regulations 2017
…
SYSC 18.6 Whistleblowing obligations under MiFID and other EU legislation
As Published: 2017
SYSC 18.6 Whistleblowing obligations under MiFID and other EU legislation
…
DISP 1.1A Complaints handling requirements for MiFID complaints
As Published: 2017
DISP 1.1A Complaints handling requirements for MiFID complaints
…
LR 16.4 Requirements with continuing application
As Published: 2007
LR 16.4 Requirements with continuing application
…