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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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LR 7.2 The Listing and Premium Listing Principles
As Published: 2009
LR 7.2 The Listing and Premium Listing Principles
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CASS 5.4 Non-statutory client money trust
As Published: 2004
CASS 5.4 Non-statutory client money trust
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DTR 5.9 Filing of information with competent authority
As Published: 2007
DTR 5.9 Filing of information with competent authority
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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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SUP 14.6 Cancelling qualification for authorisation
As Published: 2004
SUP 14.6 Cancelling qualification for authorisation
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MIPRU 3.2 Professional indemnity insurance requirements
As Published: 2006
MIPRU 3.2 Professional indemnity insurance requirements
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SUP 16.13 Reporting under the Payment Services Regulations
As Published: 2010
SUP 16.13 Reporting under the Payment Services Regulations
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SUP 10C.14 Changes to an FCA-approved person’s details
As Published: 2015
SUP 10C.14 Changes to an FCA-approved person’s details
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SUP 10A.8 Systems and controls functions
As Published: 2013
SUP 10A.8 Systems and controls functions
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