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REC 4.2D Suspension and removal of financial instruments from trading
As Published: 2007
REC 4.2D Suspension and removal of financial instruments from trading
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EG 19.27 Alternative Investment Fund Managers Regulations 2013
As Published: 2016
EG 19.27 Alternative Investment Fund Managers Regulations 2013
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EG 6.9 The Financial Services register: publication of disciplinary measures against auditors and actuaries (see chapter 15)
As Published: 2016
EG 6.9 The Financial Services register: publication of disciplinary measures against auditors and actuaries (see chapter 15)
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TC App 4.1 Appropriate Qualification tables
As Published: 2010
TC App 4.1 Appropriate Qualification tables
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CONC 3.3 The clear fair and not misleading rule and general requirements
As Published: 2014
CONC 3.3 The clear fair and not misleading rule and general requirements
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PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
As Published: 2005
PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
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PERG 9.5 The property condition (section 236(2) of the Act)
As Published: 2005
PERG 9.5 The property condition (section 236(2) of the Act)
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COBS 11.5 Record keeping: client orders and transactions
As Published: 2007
COBS 11.5 Record keeping: client orders and transactions
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COBS 3.8 Policies, procedures and records
As Published: 2007
COBS 3.8 Policies, procedures and records
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COBS 4.6 Past, simulated past and future performance
As Published: 2007
COBS 4.6 Past, simulated past and future performance
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