Updates to Regulatory Framework
Showing results 141 to 160 of 774
141 . B. Requirement to Obtain Prior Approval (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part VII – Sponsored VASPs
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part VII – Sponsored VASPs
143 . F. Compliance Responsibility (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part VII – Sponsored VASPs
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part VII – Sponsored VASPs
145 . H. Capital and Prudential Requirements (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part VII – Sponsored VASPs
146 . I. Accounts (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part VII – Sponsored VASPs
147 . J. Complaints Handling Requirements (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part VII – Sponsored VASPs
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part VII – Sponsored VASPs
149 . J. Enforcement (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part III – Anti-Money Laundering and Combating the Financing of Terrorism
150 . C. Third-Party Bank (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part IV – Client Money Rules
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part IV – Client Money Rules
152 . I. Record keeping (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part III – Anti-Money Laundering and Combating the Financing of Terrorism
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part III – Anti-Money Laundering and Combating the Financing of Terrorism
154 . C. Margin Trading Obligations (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Exchange Services Rulebook | Part IV – Margin Trading Rules
155 . B. Client Instructions (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Custody Services Rulebook | Part V – Collateral Wallet Services Rules
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook | Part IV - Licensed Distribution Services Rules
157 . D. Risk Assessments (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part III – Anti-Money Laundering and Combating the Financing of Terrorism
158 . C. AML/CFT Controls (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part III – Anti-Money Laundering and Combating the Financing of Terrorism
159 . J. Staff Management and Training (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part I – Compliance Management
160 . H. Regulatory Reporting (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part I – Compliance Management