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DTR 5.8 Procedures for the notification and disclosure of major holdings
As Published: 2007
DTR 5.8 Procedures for the notification and disclosure of major holdings
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COBS 12.4 Research recommendations: required disclosures
As Published: 2007
COBS 12.4 Research recommendations: required disclosures
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DEPP 2.2 Warning notices and first supervisory notices
As Published: 2007
DEPP 2.2 Warning notices and first supervisory notices
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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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SUP 13.8 Changes of details: provision of notices to the appropriate UK regulator
As Published: 2001
SUP 13.8 Changes of details: provision of notices to the appropriate UK regulator
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DEPP 6A.2 Deciding whether to take action
As Published: 2013
DEPP 6A.2 Deciding whether to take action
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COBS 21.3 Rules for firms engaged in linked long-term insurance business
As Published: 2008
COBS 21.3 Rules for firms engaged in linked long-term insurance business
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LR 1.2 Modifying rules and consulting the FCA
As Published: 2010
LR 1.2 Modifying rules and consulting the FCA
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DEPP 2.3 Decision notices and second supervisory notices
As Published: 2013
DEPP 2.3 Decision notices and second supervisory notices
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RCB 4.2 Enforcement powers and penalties
As Published: 2010
RCB 4.2 Enforcement powers and penalties
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