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MAR 5.5 Monitoring compliance with the rules of the MTF
As Published: 2003
MAR 5.5 Monitoring compliance with the rules of the MTF
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CASS 7.12 Organisational requirements: client money
As Published: 2015
CASS 7.12 Organisational requirements: client money
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EG 9.6 Applications for variation or revocation of prohibition orders
As Published: 2015
EG 9.6 Applications for variation or revocation of prohibition orders
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DTR 6.1 Information requirements for issuers of shares and debt securities
As Published: 2006
DTR 6.1 Information requirements for issuers of shares and debt securities
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EG 5.4 Multiple parties and third party rights in enforcement action involving warning and decision notices
As Published: 2016
EG 5.4 Multiple parties and third party rights in enforcement action involving warning and decision notices
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EG 19.6 Regulated Activities Order 2001 (RAO)
As Published: 2016
EG 19.6 Regulated Activities Order 2001 (RAO)
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CASS 7.15 Records, accounts and reconciliations
As Published: 2014
CASS 7.15 Records, accounts and reconciliations
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REC 2.8 Settlement and clearing facilitation services
As Published: 2004
REC 2.8 Settlement and clearing facilitation services
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PERG 10.4 Pension scheme service providers other than trustees
As Published: 2006
PERG 10.4 Pension scheme service providers other than trustees
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IFPRU 4.8 Internal ratings based approach: own estimates of exposure at default (EAD)
As Published: 2014
IFPRU 4.8 Internal ratings based approach: own estimates of exposure at default (EAD)
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CONC 7.3 Treatment of customers in default or arrears (including repossessions): lenders, owners and debt collectors
As Published: 2014
CONC 7.3 Treatment of customers in default or arrears (including repossessions): lenders, owners and debt collectors
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EG 12.3 Criminal prosecutions in cases of market abuse
As Published: 2016
EG 12.3 Criminal prosecutions in cases of market abuse
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