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LR 8.2 When a sponsor must be appointed or its assistance obtained
As Published: 2007
LR 8.2 When a sponsor must be appointed or its assistance obtained
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REC 2.16A Operation of a multilateral trading facility
As Published: 2007
REC 2.16A Operation of a multilateral trading facility
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SUP 3.10 Duties of auditors: notification and report on client assets
As Published: 2004
SUP 3.10 Duties of auditors: notification and report on client assets
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MAR 1.4 Market abuse (improper disclosure)
As Published: 2001
MAR 1.4 Market abuse (improper disclosure)
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COBS 16.4 Statements of client designated investments or client money
As Published: 2007
COBS 16.4 Statements of client designated investments or client money
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COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
As Published: 2004
COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
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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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BIPRU 13.8 Securities financing transactions
As Published: 2006
BIPRU 13.8 Securities financing transactions
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CASS 6.3 Depositing assets with third parties
As Published: 2007
CASS 6.3 Depositing assets with third parties
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SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents
As Published: 2001
SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents
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MIPRU 2.2 Allocation of the responsibility for insurance mediation activity
As Published: 2007
MIPRU 2.2 Allocation of the responsibility for insurance mediation activity
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