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LR 3.2 Application for admission to listing
As Published: 2005
LR 3.2 Application for admission to listing
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PR 1.2 Requirement for a prospectus and exemptions
As Published: 2009
PR 1.2 Requirement for a prospectus and exemptions
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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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DTR 2.2 Disclosure of inside information
As Published: 2005
DTR 2.2 Disclosure of inside information
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SUP 3.11 Review of auditor’s client assets report
As Published: 2011
SUP 3.11 Review of auditor’s client assets report
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SUP 16.15 Reporting under the Electronic Money Regulations
As Published: 2011
SUP 16.15 Reporting under the Electronic Money Regulations
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REC 4.2A Publication of information by UK RIEs and RAPs
As Published: 2007
REC 4.2A Publication of information by UK RIEs and RAPs
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PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
As Published: 2005
PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
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REC 3.26 Proposals to make regulatory provision
As Published: 2007
REC 3.26 Proposals to make regulatory provision
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DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments
As Published: 2009
DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments
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SUP 3.6 Firms' cooperation with their auditors
As Published: 2007
SUP 3.6 Firms' cooperation with their auditors
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