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LR 5.4A Transfer between listing categories: Equity shares
As Published: 2009
LR 5.4A Transfer between listing categories: Equity shares
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REC 3.14A Operation of a regulated market or MTF
As Published: 2007
REC 3.14A Operation of a regulated market or MTF
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SYSC 4 Annex 1 The main business activities and functions of a relevant authorised person
As Published: 2015
SYSC 4 Annex 1 The main business activities and functions of a relevant authorised person
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DTR 1B.1 Application and purpose (Corporate governance)
As Published: 2008
DTR 1B.1 Application and purpose (Corporate governance)
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COLL 6.10 Senior personnel responsibilities
As Published: 2011
COLL 6.10 Senior personnel responsibilities
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SYSC 3.2 Areas covered by systems and controls
As Published: 2002
SYSC 3.2 Areas covered by systems and controls
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DEPP 6.2 Deciding whether to take action
As Published: 2007
DEPP 6.2 Deciding whether to take action
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COLL 4.7 Key investor information and marketing communications
As Published: 2011
COLL 4.7 Key investor information and marketing communications
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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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PERG 9.6 The investment condition (section 236(3) of the Act): general
As Published: 2009
PERG 9.6 The investment condition (section 236(3) of the Act): general
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PERG 9.7 The investment condition: the 'reasonable investor'
As Published: 2005
PERG 9.7 The investment condition: the 'reasonable investor'
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CASS 6.6 Records, accounts and reconciliations
As Published: 2014
CASS 6.6 Records, accounts and reconciliations
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CASS 5.5 Segregation and the operation of client money accounts
As Published: 2004
CASS 5.5 Segregation and the operation of client money accounts
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PERG 9.5 The property condition (section 236(2) of the Act)
As Published: 2005
PERG 9.5 The property condition (section 236(2) of the Act)
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