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COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS
As Published: 2017
COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS
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CASS 1.5 Application: electronic media and E-Commerce
As Published: 2007
CASS 1.5 Application: electronic media and E-Commerce
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CASS 7.12 Organisational requirements: client money
As Published: 2017
CASS 7.12 Organisational requirements: client money
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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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MAR 8.2 Requirements for benchmark submitters [deleted]
As Published: 2018
MAR 8.2 Requirements for benchmark submitters [deleted]
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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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CONC 7.10 Treatment of customers with mental capacity limitations
As Published: 2014
CONC 7.10 Treatment of customers with mental capacity limitations
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SUP 13.4 Providing cross border services into another EEA State
As Published: 2001
SUP 13.4 Providing cross border services into another EEA State
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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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PR 5.5 Persons responsible for a prospectus
As Published: 2012
PR 5.5 Persons responsible for a prospectus
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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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SYSC 19E.2 Remuneration policies and practices
As Published: 2016
SYSC 19E.2 Remuneration policies and practices
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COLL 6.9 Independence, names and UCITS business restrictions
As Published: 2006
COLL 6.9 Independence, names and UCITS business restrictions
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