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REC 3.22 Restriction of, or instruction to close out, open positions
As Published: 2011
REC 3.22 Restriction of, or instruction to close out, open positions
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COBS 11.8 Recording telephone conversations and electronic communications [deleted]
As Published: 2008
COBS 11.8 Recording telephone conversations and electronic communications [deleted]
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EG 9.4 Prohibition orders against exempt persons and members of professional firms
As Published: 2016
EG 9.4 Prohibition orders against exempt persons and members of professional firms
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EG 16.3 Applications under section 329(3) for variation or revocation of disapplication orders
As Published: 2016
EG 16.3 Applications under section 329(3) for variation or revocation of disapplication orders
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COBS 14.4 Provision of information by an intermediate Unitholder
As Published: 2011
COBS 14.4 Provision of information by an intermediate Unitholder
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MAR 5A.10 Pre-trade transparency requirements for non-equity instruments: form of waiver
As Published: 2017
MAR 5A.10 Pre-trade transparency requirements for non-equity instruments: form of waiver
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MCOB 1.5 Application to appointed representatives
As Published: 2004
MCOB 1.5 Application to appointed representatives
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CASS 5.2 Holding money as agent of insurance undertaking
As Published: 2004
CASS 5.2 Holding money as agent of insurance undertaking
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APER 3.2 Factors relating to all Statements of Principle
As Published: 2015
APER 3.2 Factors relating to all Statements of Principle
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EG 7.8 The procedure for giving a private warning
As Published: 2016
EG 7.8 The procedure for giving a private warning
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SUP 8A.5 Revoking or varying directions and determinations
As Published: 2014
SUP 8A.5 Revoking or varying directions and determinations
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GENPRU 2.1 Calculation of capital resources requirements
As Published: 2006
GENPRU 2.1 Calculation of capital resources requirements
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LR 8.2 When a sponsor must be appointed or its guidance obtained
As Published: 2007
LR 8.2 When a sponsor must be appointed or its guidance obtained
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