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COBS 11.8 Recording telephone conversations and electronic communications
As Published: 2008
COBS 11.8 Recording telephone conversations and electronic communications
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FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
As Published: 2012
FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
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SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background
As Published: 2001
SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background
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SUP 8A.1 Application, purpose and interpretation
As Published: 2014
SUP 8A.1 Application, purpose and interpretation
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CONC 4.7 Information to be provided on entering a current account agreement
As Published: 2014
CONC 4.7 Information to be provided on entering a current account agreement
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PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)
As Published: 2005
PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)
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DTR 5.2 Acquisition or disposal of major proportions of voting rights
As Published: 2007
DTR 5.2 Acquisition or disposal of major proportions of voting rights
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COBS 4.5 Communicating with retail clients
As Published: 2008
COBS 4.5 Communicating with retail clients
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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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