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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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LR 3.2 Application for admission to listing
As Published: 2005
LR 3.2 Application for admission to listing
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COCON 4.2 Specific guidance on senior manager conduct rules
As Published: 2015
COCON 4.2 Specific guidance on senior manager conduct rules
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SUP 8.5 Notification of altered circumstances relating to waivers
As Published: 2001
SUP 8.5 Notification of altered circumstances relating to waivers
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DEPP 2.4 Third party rights and access to FCA material
As Published: 2013
DEPP 2.4 Third party rights and access to FCA material
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COLL 12.3 EEA UCITS management companies
As Published: 2013
COLL 12.3 EEA UCITS management companies
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FEES 11.2 Pensions guidance providers’ levy
As Published: 2015
FEES 11.2 Pensions guidance providers’ levy
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DTR 4.3A Reports on payments to governments
As Published: 2014
DTR 4.3A Reports on payments to governments
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SYSC 4.8 Senior management responsibilities for third-country relevant authorised persons: allocation of responsibilities
As Published: 2015
SYSC 4.8 Senior management responsibilities for third-country relevant authorised persons: allocation of responsibilities
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EG 4.11 Approach to interviews and interview procedures
As Published: 2016
EG 4.11 Approach to interviews and interview procedures
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PR 5.5 Persons responsible for a prospectus
As Published: 2012
PR 5.5 Persons responsible for a prospectus
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COLL 6.12 Risk management policy and risk measurement
As Published: 2011
COLL 6.12 Risk management policy and risk measurement
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SUP 10C.3 General material about the definition of controlled functions
As Published: 2015
SUP 10C.3 General material about the definition of controlled functions
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DTR 1.5 Fees, market abuse safe harbours and sanctions
As Published: 2005
DTR 1.5 Fees, market abuse safe harbours and sanctions
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