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SUP 12.3 What responsibility does a firm have for its appointed representatives ?
As Published: 2001
SUP 12.3 What responsibility does a firm have for its appointed representatives ?
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LR 13.7 Circulars about purchase of own equity securities
As Published: 2005
LR 13.7 Circulars about purchase of own equity securities
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MAR 1.6 Market abuse (manipulating transactions)
As Published: 2005
MAR 1.6 Market abuse (manipulating transactions)
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MCOB 10.3 Formula and assumptions for calculating the APR
As Published: 2004
MCOB 10.3 Formula and assumptions for calculating the APR
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SUP 15.10 Reporting suspicious transactions (market abuse)
As Published: 2005
SUP 15.10 Reporting suspicious transactions (market abuse)
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LR 10.7 Transactions by specialist companies
As Published: 2005
LR 10.7 Transactions by specialist companies
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PERG 4.10 Exclusions applying to more than one regulated activity
As Published: 2005
PERG 4.10 Exclusions applying to more than one regulated activity
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PR 2.3 Minimum information to be included in a prospectus
As Published: 2005
PR 2.3 Minimum information to be included in a prospectus
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SUP App 3.9 Mapping of the Investment Services Directive , Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of the Investment Services Directive , Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order
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DISP 2.5 Which firms are subject to the jurisdiction of the Financial Ombudsman Service?
As Published: 2005
DISP 2.5 Which firms are subject to the jurisdiction of the Financial Ombudsman Service?
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MAR 5.3 Notification of establishment of an ATS
As Published: 2004
MAR 5.3 Notification of establishment of an ATS
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