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REC 4.3 Risk assessments for UK recognised bodies
As Published: 2001
REC 4.3 Risk assessments for UK recognised bodies
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DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
As Published: 2010
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
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CASS 9.2 Prime broker's daily report to clients
As Published: 2010
CASS 9.2 Prime broker's daily report to clients
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BIPRU 3.3 The use of the credit assessments of ratings agencies
As Published: 2007
BIPRU 3.3 The use of the credit assessments of ratings agencies
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BIPRU 7.11 Credit derivatives in the trading book
As Published: 2007
BIPRU 7.11 Credit derivatives in the trading book
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TC App 4.1 Appropriate Qualification tables
As Published: 2010
TC App 4.1 Appropriate Qualification tables
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COBS 9.5 Record keeping and retention periods for suitability records
As Published: 2007
COBS 9.5 Record keeping and retention periods for suitability records
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REC 2A.3 Guidance on RAP recognition requirements
As Published: 2012
REC 2A.3 Guidance on RAP recognition requirements
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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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ICOBS 4.4 Commission disclosure for commercial customers
As Published: 2008
ICOBS 4.4 Commission disclosure for commercial customers
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SUP 15.6 Inaccurate, false or misleading information
As Published: 2005
SUP 15.6 Inaccurate, false or misleading information
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