Search Result
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
…
SUP 10A.9 Significant management functions [deleted]
As Published: 2014
SUP 10A.9 Significant management functions [deleted]
…
SUP 6.1 Application, interpretation and purpose
As Published: 2004
SUP 6.1 Application, interpretation and purpose
…
EG 19.27 Alternative Investment Fund Managers Regulations 2013
As Published: 2016
EG 19.27 Alternative Investment Fund Managers Regulations 2013
…
SUP 3.10 Duties of auditors: notification and report on client assets
As Published: 2004
SUP 3.10 Duties of auditors: notification and report on client assets
…
COCON 4.1 Specific guidance on individual conduct rules
As Published: 2015
COCON 4.1 Specific guidance on individual conduct rules
…
BIPRU 12.8 Cross-border and intra-group management of liquidity
As Published: 2010
BIPRU 12.8 Cross-border and intra-group management of liquidity
…
PERG 5.12 Link between activities and the United Kingdom
As Published: 2005
PERG 5.12 Link between activities and the United Kingdom
…
LR 5.4A Transfer between listing categories
As Published: 2009
LR 5.4A Transfer between listing categories
…