Updates to Regulatory Framework
Showing results 341 to 360 of 471
341 . Custody Services Rulebook (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook | Part III – Margin Trading Rules
343 . B. VARA Approval and Powers (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook | Part III – Margin Trading Rules
344 . Part III – Margin Trading Rules (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook
345 . D. Advisory Services (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook | Part II – Trading and Execution Rules
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook | Part II – Trading and Execution Rules
347 . Part II – Trading and Execution Rules (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook
348 . B. Public Disclosures (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook | Part I – Polices, Procedures and Public Disclosures
349 . A. Policies and Procedures (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook | Part I – Polices, Procedures and Public Disclosures
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook
351 . Broker-Dealer Services Rulebook (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks
352 . D. Methodology (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Advisory Services Rulebook | Part II – Advisory Services Rules
353 . C. Verification of Information (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Advisory Services Rulebook | Part II – Advisory Services Rules
354 . B. Staff Competency (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Advisory Services Rulebook | Part II – Advisory Services Rules
355 . A. Client Suitability (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Advisory Services Rulebook | Part II – Advisory Services Rules
356 . Part II – Advisory Services Rules (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Advisory Services Rulebook
357 . B. Public Disclosures (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Advisory Services Rulebook | Part I – Policies, Procedures and Public Disclosures
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Advisory Services Rulebook
359 . Advisory Services Rulebook (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks
360 . B. Implementation and Control (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Market Conduct Rulebook | Part VIII – VA Standards