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SUP 5.3 Policy on the use of skilled persons
As Published: 2005
SUP 5.3 Policy on the use of skilled persons
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COBS 12.2 Investment research and non-independent research
As Published: 2007
COBS 12.2 Investment research and non-independent research
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CASS 5.5 Segregation and the operation of client money accounts
As Published: 2004
CASS 5.5 Segregation and the operation of client money accounts
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COLL 4.7 Key investor information and marketing communications
As Published: 2011
COLL 4.7 Key investor information and marketing communications
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MAR 5A.9 Suspension and removal of financial instruments
As Published: 2017
MAR 5A.9 Suspension and removal of financial instruments
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MAR 5.6A Suspension and removal of financial instruments
As Published: 2017
MAR 5.6A Suspension and removal of financial instruments
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SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities
As Published: 2015
SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities
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SUP 15.3 General notification requirements
As Published: 2004
SUP 15.3 General notification requirements
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REC 6A.1 Exercise of passport rights by EEA market operator
As Published: 2007
REC 6A.1 Exercise of passport rights by EEA market operator
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EG 8.3 Use of the own-initiative powers in urgent cases
As Published: 2016
EG 8.3 Use of the own-initiative powers in urgent cases
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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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