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REC 3.15 Suspension of services and inability to operate facilities
As Published: 2007
REC 3.15 Suspension of services and inability to operate facilities
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TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
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COBS 16.4 Statements of client designated investments or client money
As Published: 2007
COBS 16.4 Statements of client designated investments or client money
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COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs
As Published: 2010
COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs
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COLL 11.6 Winding up, merger and division of master UCITS
As Published: 2013
COLL 11.6 Winding up, merger and division of master UCITS
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MAR 9.1 Application, introduction, approach and structure
As Published: 2017
MAR 9.1 Application, introduction, approach and structure
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SYSC 4.5 Management responsibilities maps for UK relevant authorised persons
As Published: 2015
SYSC 4.5 Management responsibilities maps for UK relevant authorised persons
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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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COLL 6.12 Risk management policy and risk measurement
As Published: 2011
COLL 6.12 Risk management policy and risk measurement
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MAR 5A.7 Monitoring compliance with the rules of the OTF
As Published: 2017
MAR 5A.7 Monitoring compliance with the rules of the OTF
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SYSC 19C.1 General application and purpose
As Published: 2014
SYSC 19C.1 General application and purpose
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MAR 7A.5 Requirements when acting as a general clearing member
As Published: 2017
MAR 7A.5 Requirements when acting as a general clearing member
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