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DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments
As Published: 2009
DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments
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EG 5.2 When settlement decisions may take place
As Published: 2016
EG 5.2 When settlement decisions may take place
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EG 4.13 Preliminary findings letters and preliminary investigation reports
As Published: 2016
EG 4.13 Preliminary findings letters and preliminary investigation reports
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CASS 9.2 Prime broker's daily report to clients
As Published: 2010
CASS 9.2 Prime broker's daily report to clients
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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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CONC 5A.5 Consequences of contravention of the cost caps
As Published: 2015
CONC 5A.5 Consequences of contravention of the cost caps
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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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CONC 6.7 Post contract: business practices
As Published: 2014
CONC 6.7 Post contract: business practices
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CONC 7.13 Data accuracy and outsourced activities
As Published: 2015
CONC 7.13 Data accuracy and outsourced activities
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DTR 6.2 Filing information and use of language
As Published: 2012
DTR 6.2 Filing information and use of language
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