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COB 9.4 These provisions have been moved to the Client Assets sourcebook (CASS)
As Published: 2003
COB 9.4 These provisions have been moved to the Client Assets sourcebook (CASS)
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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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MAR 4.3 Support of the Takeover Panel's Functions
As Published: 2007
MAR 4.3 Support of the Takeover Panel's Functions
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SUP 9.3 Giving individual guidance to a firm on the FSA's own initiative
As Published: 2004
SUP 9.3 Giving individual guidance to a firm on the FSA's own initiative
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LR 1.3 Information gathering and publication
As Published: 2005
LR 1.3 Information gathering and publication
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MCOB 9.5 Disclosure at the offer stage for equity release transactions
As Published: 2004
MCOB 9.5 Disclosure at the offer stage for equity release transactions
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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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BIPRU 1.3 Applications for advanced approaches
As Published: 2006
BIPRU 1.3 Applications for advanced approaches
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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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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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