Updates to Regulatory Framework
Showing results 181 to 200 of 326
181 . 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
182 . 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
183 . 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
184 . 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
185 . 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
186 . A. General Requirements (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Lending and Borrowing Services Rulebook | Part II – Lending and Borrowing Services Rules
187 . D. Other Disclosures (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Lending and Borrowing Services Rulebook | Part I – Policies, Procedures and Public Disclosures
188 . C. Activity-Specific Disclosures (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Lending and Borrowing Services Rulebook | Part I – Policies, Procedures and Public Disclosures
189 . B. Public Disclosures (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | VA Management and Investment Services Rulebook | Part I – Policies, Procedures and Public Disclosures
190 . E. Margin Trading Agreement (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Exchange Services Rulebook | Part IV – Margin Trading Rules
191 . B. VARA Approval and Powers (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Exchange Services Rulebook | Part IV – Margin Trading Rules
192 . 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
193 . A. Compliance with Margin Trading Rules (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Exchange Services Rulebook | Part IV – Margin Trading Rules
194 . B. Public Disclosures (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Advisory Services Rulebook | Part I – Policies, Procedures and Public Disclosures
195 . D. Settlement (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Exchange Services Rulebook | Part III – Exchange Services Rules
196 . B. Public Disclosures (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook | Part I – Polices, Procedures and Public Disclosures
197 . E. Margin Trading Agreement (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook | Part III – Margin Trading Rules
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Exchange Services Rulebook | Part III – Exchange Services Rules
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Exchange Services Rulebook | Part IV – Margin Trading Rules
200 . E. Client Agreements (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Lending and Borrowing Services Rulebook | Part II – Lending and Borrowing Services Rules