Search Result
COLL 6.9 Independence, names and UCITS business restrictions
As Published: 2006
COLL 6.9 Independence, names and UCITS business restrictions
…
DTR 8.2 Approval as a primary information provider
As Published: 2019
DTR 8.2 Approval as a primary information provider
…
GEN 1.2 Referring to approval by the FCA
As Published: 2005
GEN 1.2 Referring to approval by the FCA
…
REC 3.20 Disciplinary action relating to members
As Published: 2013
REC 3.20 Disciplinary action relating to members
…
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
…
SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation
As Published: 2017
SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation
…
SUP 11.8 Changes in the circumstances of existing controllers
As Published: 2004
SUP 11.8 Changes in the circumstances of existing controllers
…
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
…
PERG 9.10 Significance of being an open-ended investment company
As Published: 2005
PERG 9.10 Significance of being an open-ended investment company
…