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REC 2.5 Systems and controls, algorithmic trading and conflicts
As Published: 2004
REC 2.5 Systems and controls, algorithmic trading and conflicts
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REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
As Published: 2007
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
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LR 4.3 Approval and publication of listing particulars
As Published: 2016
LR 4.3 Approval and publication of listing particulars
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FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
As Published: 2012
FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
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SYSC 4.4 Apportionment of responsibilities
As Published: 2008
SYSC 4.4 Apportionment of responsibilities
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DEPP 6.5A The five steps for penalties imposed on firms
As Published: 2010
DEPP 6.5A The five steps for penalties imposed on firms
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DISP 1.10A Complaints data publication rules
As Published: 2010
DISP 1.10A Complaints data publication rules
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EG 2.3 Case selection: Threshold Conditions cases
As Published: 2016
EG 2.3 Case selection: Threshold Conditions cases
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IFPRU 2.2 Internal capital adequacy assessment process
As Published: 2014
IFPRU 2.2 Internal capital adequacy assessment process
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REC 3.15 Suspension of services and inability to operate facilities
As Published: 2007
REC 3.15 Suspension of services and inability to operate facilities
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