Search Result
SUP 11.6 Subsequent notification requirements by firms
As Published: 2004
SUP 11.6 Subsequent notification requirements by firms
…
CONC 3.11 Not approving certain financial promotions
As Published: 2014
CONC 3.11 Not approving certain financial promotions
…
MCOB 14.1 Handbook provisions which apply in respect of MCD article 3(1)(b) credit agreements
As Published: 2015
MCOB 14.1 Handbook provisions which apply in respect of MCD article 3(1)(b) credit agreements
…
COLL 9.1 Application and general information
As Published: 2004
COLL 9.1 Application and general information
…
REC 2.10 Financial crime and market abuse
As Published: 2004
REC 2.10 Financial crime and market abuse
…
SYSC 13.3 Other related Handbook sections
As Published: 2007
SYSC 13.3 Other related Handbook sections
…
MAR 5.3A Systems and controls for algorithmic trading
As Published: 2017
MAR 5.3A Systems and controls for algorithmic trading
…
IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS
As Published: 2015
IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS
…
REC 3.14 Products, services and normal hours of operation
As Published: 2007
REC 3.14 Products, services and normal hours of operation
…
REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
As Published: 2004
REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
…
CONC 7.3 Treatment of customers in default or arrears (including repossessions): lenders, owners and debt collectors
As Published: 2014
CONC 7.3 Treatment of customers in default or arrears (including repossessions): lenders, owners and debt collectors
…
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
…