Updates to Regulatory Framework
Showing results 221 to 240 of 802
221 . F. Honesty, Integrity and Reputation (
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VARA Rulebook | Rulebooks | Compulsory Rulebooks | Company Rulebook | Part III – Fit and Proper Requirements
222 . K. Client Agreements (
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VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | VA Management and Investment Services Rulebook | Part II – VA Management and Investment Services Rules
223 . I. Receipt and Transmission of Orders (
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VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | VA Management and Investment Services Rulebook | Part II – VA Management and Investment Services Rules
224 . H. Management Practices (
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VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | VA Management and Investment Services Rulebook | Part II – VA Management and Investment Services Rules
225 . F. Fees and Charges (
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VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | VA Management and Investment Services Rulebook | Part II – VA Management and Investment Services Rules
226 . E. Client Reporting & Valuation (
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VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | VA Management and Investment Services Rulebook | Part II – VA Management and Investment Services Rules
227 . A. Client Suitability (
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VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | VA Management and Investment Services Rulebook | Part II – VA Management and Investment Services Rules
228 . D. Risk Management and Due Diligence (
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VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Lending and Borrowing Services Rulebook | Part II – Lending and Borrowing Services Rules
229 . 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
230 . D. Other Disclosures (
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VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Lending and Borrowing Services Rulebook | Part I – Policies, Procedures and Public Disclosures
231 . C. Activity-Specific Disclosures (
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VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Lending and Borrowing Services Rulebook | Part I – Policies, Procedures and Public Disclosures
232 . B. Public Disclosures (
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VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | VA Management and Investment Services Rulebook | Part I – Policies, Procedures and Public Disclosures
233 . E. Margin Trading Agreement (
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VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Exchange Services Rulebook | Part IV – Margin Trading Rules
234 . B. VARA Approval and Powers (
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VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Exchange Services Rulebook | Part IV – Margin Trading Rules
235 . A. Compliance with Margin Trading Rules (
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VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Exchange Services Rulebook | Part IV – Margin Trading Rules
236 . E. Client Due Diligence (
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VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part III – Anti-Money Laundering and Combating the Financing of Terrorism
237 . B. Public Disclosures (
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VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Advisory Services Rulebook | Part I – Policies, Procedures and Public Disclosures
238 . D. Settlement (
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VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Exchange Services Rulebook | Part III – Exchange Services Rules
239 . B. Public Disclosures (
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VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook | Part I – Polices, Procedures and Public Disclosures
240 . E. Margin Trading Agreement (
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VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook | Part III – Margin Trading Rules