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MAR 5.7 Pre-trade transparency requirements for shares
As Published: 2007
MAR 5.7 Pre-trade transparency requirements for shares
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COBS 4.10 Systems and controls and approving and communicating financial promotions
As Published: 2015
COBS 4.10 Systems and controls and approving and communicating financial promotions
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FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
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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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BIPRU 9.13 Securitisations of revolving exposures with early amortisation provisions
As Published: 2007
BIPRU 9.13 Securitisations of revolving exposures with early amortisation provisions
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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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COBS 6.1 Information about the firm and compensation information
As Published: 2007
COBS 6.1 Information about the firm and compensation information
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COBS 18.8 OPS firms - non scope business
As Published: 2007
COBS 18.8 OPS firms - non scope business
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COBS 4.2 Fair, clear and not misleading communications
As Published: 2007
COBS 4.2 Fair, clear and not misleading communications
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COBS 13.4 Contents of a key features illustration
As Published: 2007
COBS 13.4 Contents of a key features illustration
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COBS 2.2 Information disclosure before providing services
As Published: 2008
COBS 2.2 Information disclosure before providing services
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PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
As Published: 2005
PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
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COBS 18.2 Energy market activity and oil market activity
As Published: 2007
COBS 18.2 Energy market activity and oil market activity
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SUP 15.8 Notification in respect of particular products and services
As Published: 2001
SUP 15.8 Notification in respect of particular products and services
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DTR 8.2 Approval as a primary information provider
As Published: 2014
DTR 8.2 Approval as a primary information provider
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