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MAR 5.3A Systems and controls for algorithmic trading
As Published: 2017
MAR 5.3A Systems and controls for algorithmic trading
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LR 5.4A Transfer between listing categories
As Published: 2009
LR 5.4A Transfer between listing categories
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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
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DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
As Published: 2010
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
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LR 15.6 Notifications and periodic financial information
As Published: 2007
LR 15.6 Notifications and periodic financial information
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COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes
As Published: 2011
COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes
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PERG 8.26 The investment must be a particular investment
As Published: 2005
PERG 8.26 The investment must be a particular investment
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SYSC 8.1 General outsourcing requirements
As Published: 2006
SYSC 8.1 General outsourcing requirements
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PERG 12.2 Establishing, operating or winding up a personal pension scheme
As Published: 2006
PERG 12.2 Establishing, operating or winding up a personal pension scheme
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CASS 9.5 Reporting to clients on request
As Published: 2014
CASS 9.5 Reporting to clients on request
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