Updates to Regulatory Framework
Showing results 221 to 240 of 804
221 . C. Conflicts of Interest (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Company Rulebook | Part II – Corporate Governance
222 . G. Transactions with Related Parties (
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VARA Rulebook | Rulebooks | Compulsory Rulebooks | Company Rulebook | Part II – Corporate Governance
223 . B. Qualification (
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VARA Rulebook | Rulebooks | Compulsory Rulebooks | Company Rulebook | Part III – Fit and Proper Requirements
224 . F. Honesty, Integrity and Reputation (
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VARA Rulebook | Rulebooks | Compulsory Rulebooks | Company Rulebook | Part III – Fit and Proper Requirements
225 . 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
226 . 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
227 . 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
228 . 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
229 . 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
230 . 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
231 . 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
232 . A. General Requirements (
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VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Lending and Borrowing Services Rulebook | Part II – Lending and Borrowing Services Rules
233 . D. Other Disclosures (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Lending and Borrowing Services Rulebook | Part I – Policies, Procedures and Public Disclosures
234 . C. Activity-Specific Disclosures (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Lending and Borrowing Services Rulebook | Part I – Policies, Procedures and Public Disclosures
235 . B. Public Disclosures (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | VA Management and Investment Services Rulebook | Part I – Policies, Procedures and Public Disclosures
236 . E. Margin Trading Agreement (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Exchange Services Rulebook | Part IV – Margin Trading Rules
237 . B. VARA Approval and Powers (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Exchange Services Rulebook | Part IV – Margin Trading Rules
238 . A. Compliance with Margin Trading Rules (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Exchange Services Rulebook | Part IV – Margin Trading Rules
239 . 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
240 . B. Public Disclosures (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Advisory Services Rulebook | Part I – Policies, Procedures and Public Disclosures