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FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
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SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
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DEPP 2.3 Decision notices and second supervisory notices
As Published: 2007
DEPP 2.3 Decision notices and second supervisory notices
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SUP 13.8 Changes of details: provision of notices to the FSA
As Published: 2001
SUP 13.8 Changes of details: provision of notices to the FSA
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COLL 6.10 Senior personnel responsibilities
As Published: 2011
COLL 6.10 Senior personnel responsibilities
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PERG 8.32 Arranging deals in investments
As Published: 2005
PERG 8.32 Arranging deals in investments
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PERG 7.4 Does the article 54 exclusion apply?
As Published: 2006
PERG 7.4 Does the article 54 exclusion apply?
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MAR 4.3 Support of the Takeover Panel's Functions
As Published: 2007
MAR 4.3 Support of the Takeover Panel's Functions
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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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RCB 3.4 Covered Bond issuance notifications
As Published: 2011
RCB 3.4 Covered Bond issuance notifications
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COLL 5.8 Investment powers and borrowing limits for feeder UCITS
As Published: 2011
COLL 5.8 Investment powers and borrowing limits for feeder UCITS
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DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
As Published: 2010
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
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SYSC 9.1 General rules on record-keeping
As Published: 2007
SYSC 9.1 General rules on record-keeping
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