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REC 3.25 Significant breaches of rules and disorderly trading conditions
As Published: 2007
REC 3.25 Significant breaches of rules and disorderly trading conditions
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REC 4.2E Information: compliance of UK recognised bodies with EU requirements
As Published: 2007
REC 4.2E Information: compliance of UK recognised bodies with EU requirements
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MCOB 4.10 Home purchase plans: sales standards
As Published: 2006
MCOB 4.10 Home purchase plans: sales standards
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LR 16.4 Requirements with continuing application
As Published: 2007
LR 16.4 Requirements with continuing application
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SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
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PERG 16.5 How AIFMD affects other regulated activities
As Published: 2013
PERG 16.5 How AIFMD affects other regulated activities
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BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives
As Published: 2007
BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives
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PERG 8.20 Additional restriction on the promotion of collective investment schemes
As Published: 2005
PERG 8.20 Additional restriction on the promotion of collective investment schemes
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