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LR 12.5 Purchase of own securities other than equity shares
As Published: 2007
LR 12.5 Purchase of own securities other than equity shares
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RCB 3.2 Annual confirmations of compliance and asset pool monitor
As Published: 2011
RCB 3.2 Annual confirmations of compliance and asset pool monitor
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SUP 15A.1 Application and notifications under EMIR
As Published: 2013
SUP 15A.1 Application and notifications under EMIR
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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
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COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs
As Published: 2010
COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs
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REC 2.17 Recognition requirements relating to the default rules of UK RIEs
As Published: 2004
REC 2.17 Recognition requirements relating to the default rules of UK RIEs
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GEN 1.2 Referring to approval by the FCA
As Published: 2005
GEN 1.2 Referring to approval by the FCA
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SYSC 20.2 Reverse stress testing requirements
As Published: 2018
SYSC 20.2 Reverse stress testing requirements
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COBS 6.1F Using a platform service for arranging and advising
As Published: 2011
COBS 6.1F Using a platform service for arranging and advising
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CASS 6.7 Treatment of custody assets after a failure
As Published: 2017
CASS 6.7 Treatment of custody assets after a failure
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