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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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DEPP 6.2 Deciding whether to take action
As Published: 2007
DEPP 6.2 Deciding whether to take action
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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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SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
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LR 17.3 Requirements with continuing application
As Published: 2006
LR 17.3 Requirements with continuing application
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LR 9.2 Requirements with continuing application
As Published: 2006
LR 9.2 Requirements with continuing application
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REC 3.14A Operation of a regulated market or MTF
As Published: 2007
REC 3.14A Operation of a regulated market or MTF
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REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
As Published: 2004
REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
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COBS 14.2 Providing product information to clients
As Published: 2007
COBS 14.2 Providing product information to clients
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DISP 1.10A Complaints data publication rules
As Published: 2010
DISP 1.10A Complaints data publication rules
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SUP 10A.12 Procedures relating to FCA-approved persons
As Published: 2013
SUP 10A.12 Procedures relating to FCA-approved persons
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