Search Result
FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
…
SUP 10A.15 References and accurate information
As Published: 2016
SUP 10A.15 References and accurate information
…
REC 4.2B Exercise of passport rights by a UK RIE
As Published: 2007
REC 4.2B Exercise of passport rights by a UK RIE
…
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
…
DEPP 6A.3 Determining the appropriate length of the period of suspension, restriction, condition or disciplinary prohibition
As Published: 2011
DEPP 6A.3 Determining the appropriate length of the period of suspension, restriction, condition or disciplinary prohibition
…
EG 5.2 When settlement decisions may take place
As Published: 2016
EG 5.2 When settlement decisions may take place
…
BIPRU 2.2 Internal capital adequacy standards
As Published: 2006
BIPRU 2.2 Internal capital adequacy standards
…
EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling
As Published: 2016
EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling
…
IPRU-INV 14.5 GROUP FINANCIAL RESOURCES REQUIREMENT
As Published: 2015
IPRU-INV 14.5 GROUP FINANCIAL RESOURCES REQUIREMENT
…
COBS 18.5 Residual CIS operators and small authorised UK AIFMs
As Published: 2007
COBS 18.5 Residual CIS operators and small authorised UK AIFMs
…
CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank
As Published: 2014
CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank
…