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COBS 11.5 Record keeping: client orders and transactions
As Published: 2007
COBS 11.5 Record keeping: client orders and transactions
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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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COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC
As Published: 2004
COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC
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REC 2A.3 Guidance on RAP recognition requirements
As Published: 2012
REC 2A.3 Guidance on RAP recognition requirements
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PERG 2.6 Specified investments: a broad outline
As Published: 2005
PERG 2.6 Specified investments: a broad outline
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SUP 14.3 Changes to cross border services
As Published: 2002
SUP 14.3 Changes to cross border services
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DTR 6.4 Choice of Home State and notifications by third country issuers
As Published: 2007
DTR 6.4 Choice of Home State and notifications by third country issuers
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SYSC 4.4 Apportionment of responsibilities
As Published: 2008
SYSC 4.4 Apportionment of responsibilities
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SYSC 2.1 Apportionment of Responsibilities
As Published: 2002
SYSC 2.1 Apportionment of Responsibilities
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MAR 1.6 Market abuse (manipulating transactions)
As Published: 2005
MAR 1.6 Market abuse (manipulating transactions)
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LR 5.4A Transfer between listing categories: Equity shares
As Published: 2009
LR 5.4A Transfer between listing categories: Equity shares
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PERG 2.10 Persons carrying on regulated activities who do not need authorisation
As Published: 2006
PERG 2.10 Persons carrying on regulated activities who do not need authorisation
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