Search Result
REC 2.12 Availability of relevant information and admission of financial instruments to trading
As Published: 2004
REC 2.12 Availability of relevant information and admission of financial instruments to trading
…
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
…
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order
…
DTR 5.8 Procedures for the notification and disclosure of major holdings
As Published: 2007
DTR 5.8 Procedures for the notification and disclosure of major holdings
…
BIPRU 7.1 Application, purpose, general provisions and non-standard transactions
As Published: 2006
BIPRU 7.1 Application, purpose, general provisions and non-standard transactions
…
BIPRU 5.5 Other funded credit risk mitigation
As Published: 2010
BIPRU 5.5 Other funded credit risk mitigation
…
MAR 7A.4 Requirements when providing direct electronic access
As Published: 2017
MAR 7A.4 Requirements when providing direct electronic access
…
CASS 9.2 Prime broker's daily report to clients
As Published: 2010
CASS 9.2 Prime broker's daily report to clients
…
CASS 7.15 Records, accounts and reconciliations
As Published: 2014
CASS 7.15 Records, accounts and reconciliations
…
EG 3.2A Information requests (section 122A)
As Published: 2016
EG 3.2A Information requests (section 122A)
…
SYSC 19A.3 Remuneration principles for IFPRU investment firms
As Published: 2011
SYSC 19A.3 Remuneration principles for IFPRU investment firms
…