Search Result
REC 6.7 Notification rules for overseas recognised bodies
As Published: 2013
REC 6.7 Notification rules for overseas recognised bodies
…
COBS 11.2 Best execution for AIFMs and residual CIS operators
As Published: 2007
COBS 11.2 Best execution for AIFMs and residual CIS operators
…
PERG 7.4 Does the article 54 exclusion apply?
As Published: 2006
PERG 7.4 Does the article 54 exclusion apply?
…
CASS 6.6 Records, accounts and reconciliations
As Published: 2014
CASS 6.6 Records, accounts and reconciliations
…
MCOB 12.4 Payment shortfall charges: regulated mortgage contracts
As Published: 2004
MCOB 12.4 Payment shortfall charges: regulated mortgage contracts
…
TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms
As Published: 2017
TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms
…
COLL 4.4 Meetings of Unitholders and service of notices
As Published: 2006
COLL 4.4 Meetings of Unitholders and service of notices
…
EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013
As Published: 2016
EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013
…
SUP 18.4 Friendly Society transfers and amalgamations
As Published: 2019
SUP 18.4 Friendly Society transfers and amalgamations
…
PERG 10.5 Employers and affinity groups (such as trade unions)
As Published: 2006
PERG 10.5 Employers and affinity groups (such as trade unions)
…
MAR 5A.5 Systems and controls for algorithmic trading
As Published: 2017
MAR 5A.5 Systems and controls for algorithmic trading
…