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COLL 6.10 Senior personnel responsibilities
As Published: 2011
COLL 6.10 Senior personnel responsibilities
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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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BIPRU 1.3 Applications for advanced approaches and waivers
As Published: 2006
BIPRU 1.3 Applications for advanced approaches and waivers
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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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IPRU-INV 12.3 CALCULATION OF FINANCIAL RESOURCES
As Published: 2015
IPRU-INV 12.3 CALCULATION OF FINANCIAL RESOURCES
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COBS 2.4 Agent as client and reliance on others
As Published: 2007
COBS 2.4 Agent as client and reliance on others
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DISP 2.6 What is the territorial scope of the relevant jurisdiction?
As Published: 2003
DISP 2.6 What is the territorial scope of the relevant jurisdiction?
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CONC 7.7 Application of interest and charges
As Published: 2014
CONC 7.7 Application of interest and charges
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PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
As Published: 2012
PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
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BIPRU 13.8 Securities financing transactions
As Published: 2006
BIPRU 13.8 Securities financing transactions
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COLL 9.4 Facilities in the United Kingdom
As Published: 2011
COLL 9.4 Facilities in the United Kingdom
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COBS 13.3 Contents of a key features document
As Published: 2007
COBS 13.3 Contents of a key features document
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COBS 10.2 Assessing appropriateness: the obligations
As Published: 2007
COBS 10.2 Assessing appropriateness: the obligations
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LR 4.3 Approval and publication of listing particulars
As Published: 2005
LR 4.3 Approval and publication of listing particulars
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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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