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REC 3.14A Operation of a regulated market or MTF
As Published: 2007
REC 3.14A Operation of a regulated market or MTF
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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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SUP 11.3 Requirements on controllers or proposed controllers under the Act
As Published: 2001
SUP 11.3 Requirements on controllers or proposed controllers under the Act
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CASS 1.2 General application: who? what?
As Published: 2003
CASS 1.2 General application: who? what?
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REC 4.2A Publication of information by UK RIEs
As Published: 2007
REC 4.2A Publication of information by UK RIEs
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COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes
As Published: 2006
COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes
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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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PERG 9.4 Collective investment scheme (section 235 of the Act)
As Published: 2005
PERG 9.4 Collective investment scheme (section 235 of the Act)
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