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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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REC 3.22 Restriction of, or instruction to close out, open positions
As Published: 2001
REC 3.22 Restriction of, or instruction to close out, open positions
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COB 10.5 Modification of the best execution rule
As Published: 2001
COB 10.5 Modification of the best execution rule
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DTR 1.5 Fees, market abuse safe harbours and sanctions
As Published: 2005
DTR 1.5 Fees, market abuse safe harbours and sanctions
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REC 6.8 Powers of direction and revocation of recognition orders
As Published: 2001
REC 6.8 Powers of direction and revocation of recognition orders
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SUP 12.8 Termination of a relationship with an appointed representative
As Published: 2004
SUP 12.8 Termination of a relationship with an appointed representative
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PERG 8.16 Financial promotions concerning funeral plans
As Published: 2005
PERG 8.16 Financial promotions concerning funeral plans
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LR 8.5 Responsibilities of listed companies
As Published: 2005
LR 8.5 Responsibilities of listed companies
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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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REC 1.2 Purpose, status and statutoryquotations
As Published: 2004
REC 1.2 Purpose, status and statutoryquotations
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SUP 21.1 Form of waiver for energy market participants
As Published: 2003
SUP 21.1 Form of waiver for energy market participants
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