Updates to Regulatory Framework
Showing results 181 to 200 of 471
181 . E. Margin Trading Agreement (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook | Part III – Margin Trading Rules
182 . C. Margin Trading Obligations (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook | Part III – Margin Trading Rules
183 . A. Compliance with Margin Trading Rules (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook | Part III – Margin Trading Rules
184 . B. Dealing as Principal (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook | Part II – Trading and Execution Rules
185 . A. Best Execution (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook | Part II – Trading and Execution Rules
186 . Introduction (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook
187 . A. Policies and Procedures (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Advisory Services Rulebook | Part I – Policies, Procedures and Public Disclosures
188 . Introduction (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Advisory Services Rulebook
189 . B. Complaints Handling Procedures (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Market Conduct Rulebook | Part III – Complaints Handling
190 . B. Content of Client Agreements (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Market Conduct Rulebook | Part II – Client Agreements
191 . Introduction (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Market Conduct Rulebook
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Technology and Information Rulebook | Part III – Confidential Information
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Technology and Information Rulebook | Part I – Technology Governance, Controls and Security
194 . B. Cybersecurity Policy (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Technology and Information Rulebook | Part I – Technology Governance, Controls and Security
195 . A. Overview (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Technology and Information Rulebook | Part I – Technology Governance, Controls and Security
196 . Introduction (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Technology and Information Rulebook
197 . F. Consequences of Breach (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part VI – Anti-Bribery and Corruption
198 . C. Investigation and Reporting (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part VI – Anti-Bribery and Corruption
199 . A. General Principles (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part VI – Anti-Bribery and Corruption
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part IV – Client Money Rules