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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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EG 5.7 The relevance of settled cases to subsequent action
As Published: 2016
EG 5.7 The relevance of settled cases to subsequent action
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EG 7.8 The procedure for giving a private warning
As Published: 2016
EG 7.8 The procedure for giving a private warning
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BIPRU 7.11 Credit derivatives in the trading book
As Published: 2007
BIPRU 7.11 Credit derivatives in the trading book
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PERG 3A.4 Small electronic money institutions, mixed businesses, distributors, agents and exempt bodies
As Published: 2011
PERG 3A.4 Small electronic money institutions, mixed businesses, distributors, agents and exempt bodies
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LR 8.2 When a sponsor must be appointed or its guidance obtained
As Published: 2007
LR 8.2 When a sponsor must be appointed or its guidance obtained
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CASS 7.12 Organisational requirements: client money
As Published: 2015
CASS 7.12 Organisational requirements: client money
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SUP 8A.5 Revoking or varying directions and determinations
As Published: 2014
SUP 8A.5 Revoking or varying directions and determinations
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COLL 4.8 Notifications for UCITS master-feeder arrangements
As Published: 2011
COLL 4.8 Notifications for UCITS master-feeder arrangements
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