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COLL 4.8 Notifications for UCITS master-feeder arrangements
As Published: 2011
COLL 4.8 Notifications for UCITS master-feeder arrangements
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SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents
As Published: 2001
SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents
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DISP 1.1A Complaints handling requirements for MiFID complaints
As Published: 2017
DISP 1.1A Complaints handling requirements for MiFID complaints
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IPRU-INV 5.4 Financial resources requirement
As Published: 2016
IPRU-INV 5.4 Financial resources requirement
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MCOB 11.6 Responsible lending and financing
As Published: 2012
MCOB 11.6 Responsible lending and financing
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DEPP 2.5 Provision for certain categories of decision
As Published: 2007
DEPP 2.5 Provision for certain categories of decision
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PERG 16.2 What types of funds and businesses are caught?
As Published: 2013
PERG 16.2 What types of funds and businesses are caught?
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DTR 2.2 Disclosure of inside information
As Published: 2016
DTR 2.2 Disclosure of inside information
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MAR 7A.3 Requirements for algorithmic trading
As Published: 2017
MAR 7A.3 Requirements for algorithmic trading
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REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
As Published: 2007
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
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BIPRU 1.2 Definition of the trading book
As Published: 2010
BIPRU 1.2 Definition of the trading book
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