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DTR 1C.1 Application and purpose (Primary information providers)
As Published: 2014
DTR 1C.1 Application and purpose (Primary information providers)
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DTR 1.1 Application and purpose (Disclosure rules)
As Published: 2005
DTR 1.1 Application and purpose (Disclosure rules)
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DTR 8.3 Criteria for approval as a primary information provider
As Published: 2014
DTR 8.3 Criteria for approval as a primary information provider
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PERG 13.3 Investment Services and Activities
As Published: 2012
PERG 13.3 Investment Services and Activities
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CASS 11.8 Client bank account acknowledgement letters
As Published: 2014
CASS 11.8 Client bank account acknowledgement letters
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PERG 7.5 When is it appropriate to apply for a certificate?
As Published: 2005
PERG 7.5 When is it appropriate to apply for a certificate?
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LR 8.5 Responsibilities of listed companies
As Published: 2007
LR 8.5 Responsibilities of listed companies
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BIPRU 12.9 Individual liquidity guidance and regulatory intervention points
As Published: 2012
BIPRU 12.9 Individual liquidity guidance and regulatory intervention points
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SUP 1A.3 The FCA's approach to supervision
As Published: 2013
SUP 1A.3 The FCA's approach to supervision
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PR 2.3 Minimum information to be included in a prospectus
As Published: 2007
PR 2.3 Minimum information to be included in a prospectus
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COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes
As Published: 2011
COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes
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LR 10.7 Transactions by specialist companies
As Published: 2010
LR 10.7 Transactions by specialist companies
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PERG 8.25 Advice must relate to an investment which is a security or contractually based investment
As Published: 2006
PERG 8.25 Advice must relate to an investment which is a security or contractually based investment
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