Search Result
SYSC 13.4 Requirements to notify the appropriate regulator
As Published: 2016
SYSC 13.4 Requirements to notify the appropriate regulator
…
SUP 15.10 Reporting suspicious transactions or orders (market abuse)
As Published: 2005
SUP 15.10 Reporting suspicious transactions or orders (market abuse)
…
SUP 8.5 Notification of altered circumstances relating to waivers
As Published: 2001
SUP 8.5 Notification of altered circumstances relating to waivers
…
COLL 14.2 Registration with the Charity Commission
As Published: 2016
COLL 14.2 Registration with the Charity Commission
…
MAR 6.4 Systematic internaliser reporting requirement
As Published: 2017
MAR 6.4 Systematic internaliser reporting requirement
…
SUP 8A.4 Notification of altered circumstances relating to directions or waivers
As Published: 2014
SUP 8A.4 Notification of altered circumstances relating to directions or waivers
…
SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
…
MCOB 2A.1 Remuneration: MCD regulated mortgage contracts
As Published: 2015
MCOB 2A.1 Remuneration: MCD regulated mortgage contracts
…
SYSC 3.2 Areas covered by systems and controls
As Published: 2002
SYSC 3.2 Areas covered by systems and controls
…
DEPP 6.5 Determining the appropriate level of financial penalty
As Published: 2008
DEPP 6.5 Determining the appropriate level of financial penalty
…
MAR 9.1 Application, approach and structure
As Published: 2017
MAR 9.1 Application, approach and structure
…
MAR 7A.3 Requirements for algorithmic trading
As Published: 2017
MAR 7A.3 Requirements for algorithmic trading
…
MAR 7A.4 Requirements when providing direct electronic access
As Published: 2017
MAR 7A.4 Requirements when providing direct electronic access
…
CASS 6.6 Records, accounts and reconciliations
As Published: 2014
CASS 6.6 Records, accounts and reconciliations
…
MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral
As Published: 2007
MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral
…
DISP 2.6 What is the territorial scope of the relevant jurisdiction?
As Published: 2003
DISP 2.6 What is the territorial scope of the relevant jurisdiction?
…