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SUP 16.3 General provisions on reporting
As Published: 2001
SUP 16.3 General provisions on reporting
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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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SUP 13A.3 Qualifications for authorisation under the Act
As Published: 2007
SUP 13A.3 Qualifications for authorisation under the Act
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FEES App 1 Annex 4 Glossary of definitions
As Published: 2012
FEES App 1 Annex 4 Glossary of definitions
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SUP 10A.12 Procedures relating to FCA-approved persons
As Published: 2014
SUP 10A.12 Procedures relating to FCA-approved persons
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CONC 11.2 Right of withdrawal: P2P agreements
As Published: 2015
CONC 11.2 Right of withdrawal: P2P agreements
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BIPRU 4.2 The IRB approach: High level material
As Published: 2006
BIPRU 4.2 The IRB approach: High level material
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DISP App 3.2 The assessment of a complaint
As Published: 2010
DISP App 3.2 The assessment of a complaint
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SUP 13.7 Changes to cross border services
As Published: 2001
SUP 13.7 Changes to cross border services
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DTR 5.1 Notification of the acquisition or disposal of major shareholdings
As Published: 2006
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
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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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CASS 5.4 Non-statutory client money trust
As Published: 2004
CASS 5.4 Non-statutory client money trust
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FEES 4.2 Obligation to pay periodic fees
As Published: 2006
FEES 4.2 Obligation to pay periodic fees
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EG 11.2 Criteria for determining whether to exercise powers to obtain restitution
As Published: 2016
EG 11.2 Criteria for determining whether to exercise powers to obtain restitution
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