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REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading
As Published: 2004
REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading
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PERG 1.5 What other guidance about the perimeter is available from the FSA?
As Published: 2006
PERG 1.5 What other guidance about the perimeter is available from the FSA?
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REC 3.5 Disciplinary action and events relating to key individuals
As Published: 2001
REC 3.5 Disciplinary action and events relating to key individuals
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BIPRU 1.2 Definition of the trading book
As Published: 2007
BIPRU 1.2 Definition of the trading book
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DISP 2.3 Time Limits for referral of complaints to the Financial Ombudsman Service
As Published: 2003
DISP 2.3 Time Limits for referral of complaints to the Financial Ombudsman Service
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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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