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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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REC 4.2A Publication of information by UK RIEs and RAPs
As Published: 2007
REC 4.2A Publication of information by UK RIEs and RAPs
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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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FEES 11.1 Application, purpose and background
As Published: 2015
FEES 11.1 Application, purpose and background
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CASS 5.2 Holding money as agent of insurance undertaking
As Published: 2004
CASS 5.2 Holding money as agent of insurance undertaking
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EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers
As Published: 2016
EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers
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PERG 8.25 Advice must relate to an investment which is a security or contractually based investment
As Published: 2006
PERG 8.25 Advice must relate to an investment which is a security or contractually based investment
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SYSC 2.1 Apportionment of Responsibilities
As Published: 2002
SYSC 2.1 Apportionment of Responsibilities
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LR 1.3 Information gathering and publication
As Published: 2005
LR 1.3 Information gathering and publication
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MCOB 4.10 Home purchase plans: sales standards
As Published: 2006
MCOB 4.10 Home purchase plans: sales standards
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REC 4.2 The supervisory relationship with UK recognised bodies
As Published: 2007
REC 4.2 The supervisory relationship with UK recognised bodies
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