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REC 3.15 Suspension of services and inability to operate facilities
As Published: 2001
REC 3.15 Suspension of services and inability to operate facilities
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DISP 2.5 Which firms are subject to the jurisdiction of the Financial Ombudsman Service?
As Published: 2002
DISP 2.5 Which firms are subject to the jurisdiction of the Financial Ombudsman Service?
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MAR 1.11 The scope of the market abuse regime
As Published: 2001
MAR 1.11 The scope of the market abuse regime
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COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes
As Published: 2004
COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes
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REC 3.17 Inability to discharge regulatory functions
As Published: 2001
REC 3.17 Inability to discharge regulatory functions
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SUP 11.7 Acquisition or increase of control: approval procedures
As Published: 2004
SUP 11.7 Acquisition or increase of control: approval procedures
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SUP 3.6 Firms' cooperation with their auditors
As Published: 2001
SUP 3.6 Firms' cooperation with their auditors
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DISP 1.4 Time limits for dealing with a complaint
As Published: 2003
DISP 1.4 Time limits for dealing with a complaint
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