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Updates to Regulatory Framework
Showing results 141 to 160 of 773
141 . D. Establishing a Sponsored VASP Relationship ( )
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part VII – Sponsored VASPs
142 . F. Compliance Responsibility ( )
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part VII – Sponsored VASPs
143 . E. Regulatory Status, Marketing and Disclosures ( )
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part VII – Sponsored VASPs
144 . H. Capital and Prudential Requirements ( )
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part VII – Sponsored VASPs
145 . I. Accounts ( )
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part VII – Sponsored VASPs
146 . J. Complaints Handling Requirements ( )
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part VII – Sponsored VASPs
147 . K. Governance and Reporting Responsibilities ( )
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part VII – Sponsored VASPs
148 . J. Enforcement ( )
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part III – Anti-Money Laundering and Combating the Financing of Terrorism
149 . C. Third-Party Bank ( )
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part IV – Client Money Rules
150 . D. Disclosure, Reporting and Audit Requirements ( )
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part IV – Client Money Rules
151 . I. Record keeping ( )
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part III – Anti-Money Laundering and Combating the Financing of Terrorism
152 . H. Compliance with targeted financial sanctions ( )
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part III – Anti-Money Laundering and Combating the Financing of Terrorism
153 . C. Margin Trading Obligations ( )
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Exchange Services Rulebook | Part IV – Margin Trading Rules
154 . B. Client Instructions ( )
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Custody Services Rulebook | Part V – Collateral Wallet Services Rules
155 . E. Ongoing Obligations, Monitoring and Notification ( )
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook | Part IV - Licensed Distribution Services Rules
156 . D. Risk Assessments ( )
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part III – Anti-Money Laundering and Combating the Financing of Terrorism
157 . 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
158 . J. Staff Management and Training ( )
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part I – Compliance Management
159 . H. Regulatory Reporting ( )
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part I – Compliance Management
160 . F. Books and Records ( )
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Compliance and Risk Management Rulebook | Part I – Compliance Management