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641 - 660 of 977 items.
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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COBS 11.8 Recording telephone conversations and electronic communications
As Published: 2008
COBS 11.8 Recording telephone conversations and electronic communications
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DEPP 2.4 Third party rights and access to FSA material
As Published: 2007
DEPP 2.4 Third party rights and access to FSA material
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CASS 9.3 Prime brokerage agreement disclosure annex
As Published: 2010
CASS 9.3 Prime brokerage agreement disclosure annex
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DEPP 6.4 Financial penalty or public censure
As Published: 2010
DEPP 6.4 Financial penalty or public censure
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PERG 8.8 Having an effect in the United Kingdom
As Published: 2005
PERG 8.8 Having an effect in the United Kingdom
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