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DTR 5.8 Procedures for the notification and disclosure of major holdings
As Published: 2007
DTR 5.8 Procedures for the notification and disclosure of major holdings
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CASS 9.2 Prime broker's daily report to clients
As Published: 2010
CASS 9.2 Prime broker's daily report to clients
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PERG 5.8 The regulated activities: advising on contracts of insurance
As Published: 2013
PERG 5.8 The regulated activities: advising on contracts of insurance
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EG 19.20 Payment Services Regulations 2009
As Published: 2016
EG 19.20 Payment Services Regulations 2009
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IFPRU 4.3 Guidance on internal ratings based approach: high level material
As Published: 2014
IFPRU 4.3 Guidance on internal ratings based approach: high level material
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EG 19.23 Electronic Money Regulations 2011
As Published: 2016
EG 19.23 Electronic Money Regulations 2011
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SYSC 22.7 Getting references: additional rules and guidance for full scope regulatory reference firms
As Published: 2016
SYSC 22.7 Getting references: additional rules and guidance for full scope regulatory reference firms
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CREDS 7.2 General requirements concerning lending policy
As Published: 2012
CREDS 7.2 General requirements concerning lending policy
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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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DEPP 6A.3 Determining the appropriate length of the period of suspension, restriction, condition or disciplinary prohibition
As Published: 2011
DEPP 6A.3 Determining the appropriate length of the period of suspension, restriction, condition or disciplinary prohibition
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