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DTR 5.8 Procedures for the notification and disclosure of major holdings
As Published: 2007
DTR 5.8 Procedures for the notification and disclosure of major holdings
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COBS 18.11 Authorised professional firms
As Published: 2007
COBS 18.11 Authorised professional firms
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DTR 6.1 Information requirements for issuers of shares and debt securities
As Published: 2006
DTR 6.1 Information requirements for issuers of shares and debt securities
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COBS 10.7 Record keeping and retention periods for appropriateness records
As Published: 2007
COBS 10.7 Record keeping and retention periods for appropriateness records
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PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)
As Published: 2005
PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)
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COBS 12.4 Research recommendations: required disclosures
As Published: 2007
COBS 12.4 Research recommendations: required disclosures
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DEPP 2.2 Warning notices and first supervisory notices
As Published: 2007
DEPP 2.2 Warning notices and first supervisory notices
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LR 4.3 Approval and publication of listing particulars
As Published: 2005
LR 4.3 Approval and publication of listing particulars
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MCOB 2.4 High pressure sales: regulated mortgage contracts and home reversion plans
As Published: 2006
MCOB 2.4 High pressure sales: regulated mortgage contracts and home reversion plans
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SUP 11.6 Subsequent notification requirements by firms
As Published: 2004
SUP 11.6 Subsequent notification requirements by firms
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BIPRU 5.5 Other funded credit risk mitigation
As Published: 2007
BIPRU 5.5 Other funded credit risk mitigation
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DISP 3.1 Purpose, interpretation and application
As Published: 2003
DISP 3.1 Purpose, interpretation and application
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