Search Result
DTR 5.8 Procedures for the notification and disclosure of major holdings
As Published: 2007
DTR 5.8 Procedures for the notification and disclosure of major holdings
…
MAR 7A.5 Requirements when acting as a general clearing member
As Published: 2017
MAR 7A.5 Requirements when acting as a general clearing member
…
CASS 7.12 Organisational requirements: client money
As Published: 2017
CASS 7.12 Organisational requirements: client money
…
MAR 5.5 Monitoring compliance with the rules of the MTF
As Published: 2003
MAR 5.5 Monitoring compliance with the rules of the MTF
…
EG 2.9 FCA guidance and supporting materials
As Published: 2016
EG 2.9 FCA guidance and supporting materials
…
MAR 5A.7 Monitoring compliance with the rules of the OTF
As Published: 2017
MAR 5A.7 Monitoring compliance with the rules of the OTF
…
DEPP 6.6 Financial penalties for late and incomplete submission of reports
As Published: 2010
DEPP 6.6 Financial penalties for late and incomplete submission of reports
…
CONC 8.3 Pre contract information and advice requirements
As Published: 2014
CONC 8.3 Pre contract information and advice requirements
…
COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
As Published: 2010
COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
…
MAR 6.4 Systematic internaliser reporting requirement
As Published: 2017
MAR 6.4 Systematic internaliser reporting requirement
…
SUP App 2.10 Grant or variation of permission
As Published: 2001
SUP App 2.10 Grant or variation of permission
…