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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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COBS 3.8 Policies, procedures and records
As Published: 2007
COBS 3.8 Policies, procedures and records
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CASS 1.5 Application: electronic media and E-Commerce
As Published: 2007
CASS 1.5 Application: electronic media and E-Commerce
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MAR 5.5 Monitoring compliance with the rules of the MTF
As Published: 2003
MAR 5.5 Monitoring compliance with the rules of the MTF
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COBS 2.1 Acting honestly, fairly and professionally
As Published: 2007
COBS 2.1 Acting honestly, fairly and professionally
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LR 15.3 Listing applications and procedures
As Published: 2005
LR 15.3 Listing applications and procedures
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GEN 4.4 Business for retail clients from non-UK offices
As Published: 2004
GEN 4.4 Business for retail clients from non-UK offices
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