Search Result
SYSC 19E.2 Remuneration policies and practices
As Published: 2016
SYSC 19E.2 Remuneration policies and practices
…
SUP 18.4 Friendly Society transfers and amalgamations
As Published: 2019
SUP 18.4 Friendly Society transfers and amalgamations
…
REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
As Published: 2004
REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
…
SUP 5.3 Policy on the use of skilled persons
As Published: 2005
SUP 5.3 Policy on the use of skilled persons
…
SUP 5.4 Appointment and reporting process
As Published: 2016
SUP 5.4 Appointment and reporting process
…
COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
As Published: 2011
COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
…
MAR 5.3A Systems and controls for algorithmic trading
As Published: 2017
MAR 5.3A Systems and controls for algorithmic trading
…
LR 1.3 Information gathering and publication
As Published: 2005
LR 1.3 Information gathering and publication
…
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
…
LR 12.5 Purchase of own securities other than equity shares
As Published: 2007
LR 12.5 Purchase of own securities other than equity shares
…