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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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TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
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COLL 6.9 Independence, names and UCITS business restrictions
As Published: 2006
COLL 6.9 Independence, names and UCITS business restrictions
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PERG 8.30 Medium used to give advice or information
As Published: 2005
PERG 8.30 Medium used to give advice or information
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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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REC 3.13 Delegation of relevant functions
As Published: 2001
REC 3.13 Delegation of relevant functions
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GEN 6.1 Insurance against financial penalties
As Published: 2003
GEN 6.1 Insurance against financial penalties
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REC 4.2B Exercise of passport rights by a UK RIE
As Published: 2007
REC 4.2B Exercise of passport rights by a UK RIE
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SYSC 3.2 Areas covered by systems and controls
As Published: 2002
SYSC 3.2 Areas covered by systems and controls
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GEN 4.5 Statements about authorisation and regulation by the FSA
As Published: 2008
GEN 4.5 Statements about authorisation and regulation by the FSA
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REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing
As Published: 2006
REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing
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BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver
As Published: 2007
BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver
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