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REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
As Published: 2004
REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
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PERG 5.5 The regulated activities: dealing in contracts as agent
As Published: 2005
PERG 5.5 The regulated activities: dealing in contracts as agent
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COLL 5.5 Cash, borrowing, lending and other provisions
As Published: 2006
COLL 5.5 Cash, borrowing, lending and other provisions
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LR 3.2 Application for admission to listing
As Published: 2005
LR 3.2 Application for admission to listing
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PR 5.5 Persons responsible for a prospectus
As Published: 2005
PR 5.5 Persons responsible for a prospectus
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ICOBS 4.1 General requirements for insurance intermediaries
As Published: 2007
ICOBS 4.1 General requirements for insurance intermediaries
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COBS 11.5 Record keeping: client orders and transactions
As Published: 2007
COBS 11.5 Record keeping: client orders and transactions
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