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COBS 8.1 Client agreements: designated investment business
As Published: 2007
COBS 8.1 Client agreements: designated investment business
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DTR 1A.1 Application and purpose (Transparency rules)
As Published: 2006
DTR 1A.1 Application and purpose (Transparency rules)
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COBS 4.9 Financial promotions with an overseas element
As Published: 2007
COBS 4.9 Financial promotions with an overseas element
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SUP 11.3 Requirements on controllers or proposed controllers under the Act
As Published: 2001
SUP 11.3 Requirements on controllers or proposed controllers under the Act
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SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
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MAR 6.4 Systematic internaliser reporting requirement
As Published: 2007
MAR 6.4 Systematic internaliser reporting requirement
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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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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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