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DTR 8.3 Criteria for approval as a primary information provider
As Published: 2014
DTR 8.3 Criteria for approval as a primary information provider
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REC 1.2 Purpose, status and quotations, notes or references
As Published: 2004
REC 1.2 Purpose, status and quotations, notes or references
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EG 4.13 Preliminary findings letters and preliminary investigation reports
As Published: 2016
EG 4.13 Preliminary findings letters and preliminary investigation reports
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PERG 16.5 How AIFMD affects other regulated activities
As Published: 2019
PERG 16.5 How AIFMD affects other regulated activities
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EG 5.3 The basis of settlement discussions
As Published: 2016
EG 5.3 The basis of settlement discussions
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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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CASS 11.7 Selecting an approved bank at which to hold client money
As Published: 2014
CASS 11.7 Selecting an approved bank at which to hold client money
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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
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LR 13.7 Circulars about purchase of own equity shares
As Published: 2007
LR 13.7 Circulars about purchase of own equity shares
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SUP 16.13 Reporting under the Payment Services Regulations
As Published: 2010
SUP 16.13 Reporting under the Payment Services Regulations
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