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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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CASS 10.3 Existing records forming part of the CASS resolution pack
As Published: 2012
CASS 10.3 Existing records forming part of the CASS resolution pack
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DTR 1B.2 Modifying rules and consulting the FSA
As Published: 2008
DTR 1B.2 Modifying rules and consulting the FSA
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REC 3.20 Disciplinary action relating to members
As Published: 2001
REC 3.20 Disciplinary action relating to members
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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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PERG 8.30 Medium used to give advice or information
As Published: 2005
PERG 8.30 Medium used to give advice or information
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MCOB 2.7 Application to electronic media and distance communications
As Published: 2004
MCOB 2.7 Application to electronic media and distance communications
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COBS 9.3 Guidance on assessing suitability
As Published: 2007
COBS 9.3 Guidance on assessing suitability
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