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REC 3.21 Criminal offences and civil prohibitions
As Published: 2001
REC 3.21 Criminal offences and civil prohibitions
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REC 4.2E Information: compliance of UK RIEs with the MiFID Regulation
As Published: 2007
REC 4.2E Information: compliance of UK RIEs with the MiFID Regulation
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REC 3.22 Restriction of, or instruction to close out, open positions
As Published: 2001
REC 3.22 Restriction of, or instruction to close out, open positions
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REC 6.8 Powers of direction and revocation of recognition orders
As Published: 2001
REC 6.8 Powers of direction and revocation of recognition orders
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REC 4.6 The section 296 power to give directions
As Published: 2007
REC 4.6 The section 296 power to give directions
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SUP 3.6 Firms' cooperation with their auditors
As Published: 2007
SUP 3.6 Firms' cooperation with their auditors
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DISP 3.9 Delegation of the Ombudsman's powers
As Published: 2003
DISP 3.9 Delegation of the Ombudsman's powers
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LR 1.2 Modifying rules and consulting the FSA
As Published: 2005
LR 1.2 Modifying rules and consulting the FSA
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LR 12.5 Purchase of own securities other than equity shares
As Published: 2007
LR 12.5 Purchase of own securities other than equity shares
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PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
As Published: 2005
PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
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SUP 14.4 Notices of proposed changes: form and delivery
As Published: 2001
SUP 14.4 Notices of proposed changes: form and delivery
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