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REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
As Published: 2007
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
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SUP 10C.13 Variation of conditional and time-limited approvals
As Published: 2015
SUP 10C.13 Variation of conditional and time-limited approvals
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PERG 2.10 Persons carrying on regulated activities who do not need authorisation
As Published: 2006
PERG 2.10 Persons carrying on regulated activities who do not need authorisation
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CASS 11.3 Responsibility for CASS operational oversight
As Published: 2015
CASS 11.3 Responsibility for CASS operational oversight
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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
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PERG 1.4 General guidance to be found in PERG
As Published: 2006
PERG 1.4 General guidance to be found in PERG
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COBS 4.2 Fair, clear and not misleading communications
As Published: 2007
COBS 4.2 Fair, clear and not misleading communications
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EG 19.27 Alternative Investment Fund Managers Regulations 2013
As Published: 2016
EG 19.27 Alternative Investment Fund Managers Regulations 2013
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COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS
As Published: 2017
COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS
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SUP 21.1 Form of waiver for energy market participants
As Published: 2003
SUP 21.1 Form of waiver for energy market participants
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