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MAR 6.4 Systematic internaliser reporting requirement
As Published: 2007
MAR 6.4 Systematic internaliser reporting requirement
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REC 2A.2 Method of satisfying the RAP recognition requirements
As Published: 2011
REC 2A.2 Method of satisfying the RAP recognition requirements
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ICOBS 8.3 Insurance intermediaries (and insurers handling claims on another insurer’s policy)
As Published: 2008
ICOBS 8.3 Insurance intermediaries (and insurers handling claims on another insurer’s policy)
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COBS 3.8 Policies, procedures and records
As Published: 2007
COBS 3.8 Policies, procedures and records
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REC 4.2E Information: compliance of UK RIEs with the MiFID Regulation and Auction Regulation
As Published: 2007
REC 4.2E Information: compliance of UK RIEs with the MiFID Regulation and Auction Regulation
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RCB 6.2 Policy on decision and warning notices
As Published: 2008
RCB 6.2 Policy on decision and warning notices
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COLL 7.5 Schemes or sub-funds that are not commercially viable
As Published: 2004
COLL 7.5 Schemes or sub-funds that are not commercially viable
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SUP 15.10 Reporting suspicious transactions (market abuse)
As Published: 2005
SUP 15.10 Reporting suspicious transactions (market abuse)
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LR 17.2 Requirements for listing and listing applications
As Published: 2005
LR 17.2 Requirements for listing and listing applications
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