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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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MCOB 1.6 Application to mortgages in relation to the Consumer Credit Act 1974
As Published: 2004
MCOB 1.6 Application to mortgages in relation to the Consumer Credit Act 1974
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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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SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
As Published: 2004
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
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ICOBS 6.4 Pre- and post-contract information: protection policies
As Published: 2008
ICOBS 6.4 Pre- and post-contract information: protection policies
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COBS 4.12 Unregulated collective investment schemes
As Published: 2007
COBS 4.12 Unregulated collective investment schemes
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SYSC 4.2 Persons who effectively direct the business
As Published: 2002
SYSC 4.2 Persons who effectively direct the business
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FEES 4.3 Periodic fee payable by firms (other than ICVCs and UCITS qualifiers)
As Published: 2006
FEES 4.3 Periodic fee payable by firms (other than ICVCs and UCITS qualifiers)
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DTR 2.5 Delaying disclosure of inside information
As Published: 2005
DTR 2.5 Delaying disclosure of inside information
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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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COLL 4.4 Meetings of Unitholders and service of notices
As Published: 2006
COLL 4.4 Meetings of Unitholders and service of notices
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CASS 5.5 Segregation and the operation of client money accounts
As Published: 2004
CASS 5.5 Segregation and the operation of client money accounts
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