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SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

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BIPRU 7.10 Use of a Value at Risk Model

As Published: 2007

BIPRU 7.10 Use of a Value at Risk Model

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COLL 4.2 Pre-sale notifications

As Published: 2006

COLL 4.2 Pre-sale notifications

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COLL 6.2 Dealing

As Published: 2005

COLL 6.2 Dealing

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CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

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Similar To

REC 2.9 Transaction recording

DTR 6.1 Information requirements for issuers of shares and debt securities

SYSC 6.1 Compliance

LR App 1.1 Relevant definitions

PERG 13.3 Investment Services and Activities

REC 4.2B Exercise of passport rights by a UK RIE

REC 2.10 Financial crime and market abuse

DTR 5.4 Aggregation of managed holdings

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

LR 5.4A Transfer between listing categories: Equity shares

COLL 4.5 Reports and accounts

REC 3.6 Constitution and governance

RCB 2.3 Determination of registration

COLL 8.3 Investor relations

CASS 6.1 Application

SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

BIPRU 7.10 Use of a Value at Risk Model

COLL 4.2 Pre-sale notifications

COLL 6.2 Dealing

CASS 5.5 Segregation and the operation of client money accounts