Updates to Regulatory Framework
Showing results 221 to 240 of 803
221 . B. Qualification (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Company Rulebook | Part III – Fit and Proper Requirements
222 . F. Honesty, Integrity and Reputation (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Company Rulebook | Part III – Fit and Proper Requirements
223 . K. Client Agreements (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | VA Management and Investment Services Rulebook | Part II – VA Management and Investment Services Rules
224 . I. Receipt and Transmission of Orders (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | VA Management and Investment Services Rulebook | Part II – VA Management and Investment Services Rules
225 . H. Management Practices (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | VA Management and Investment Services Rulebook | Part II – VA Management and Investment Services Rules
226 . F. Fees and Charges (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | VA Management and Investment Services Rulebook | Part II – VA Management and Investment Services Rules
227 . E. Client Reporting & Valuation (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | VA Management and Investment Services Rulebook | Part II – VA Management and Investment Services Rules
228 . A. Client Suitability (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | VA Management and Investment Services Rulebook | Part II – VA Management and Investment Services Rules
229 . D. Risk Management and Due Diligence (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Lending and Borrowing Services Rulebook | Part II – Lending and Borrowing Services Rules
230 . A. General Requirements (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Lending and Borrowing Services Rulebook | Part II – Lending and Borrowing Services Rules
231 . D. Other Disclosures (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Lending and Borrowing Services Rulebook | Part I – Policies, Procedures and Public Disclosures
232 . C. Activity-Specific Disclosures (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Lending and Borrowing Services Rulebook | Part I – Policies, Procedures and Public Disclosures
233 . B. Public Disclosures (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | VA Management and Investment Services Rulebook | Part I – Policies, Procedures and Public Disclosures
234 . E. Margin Trading Agreement (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Exchange Services Rulebook | Part IV – Margin Trading Rules
235 . B. VARA Approval and Powers (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Exchange Services Rulebook | Part IV – Margin Trading Rules
236 . A. Compliance with Margin Trading Rules (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Exchange Services Rulebook | Part IV – Margin Trading Rules
237 . E. Client Due Diligence (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part III – Anti-Money Laundering and Combating the Financing of Terrorism
238 . B. Public Disclosures (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Advisory Services Rulebook | Part I – Policies, Procedures and Public Disclosures
239 . D. Settlement (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Exchange Services Rulebook | Part III – Exchange Services Rules
240 . B. Public Disclosures (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook | Part I – Polices, Procedures and Public Disclosures