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REC 4.2 The supervisory relationship with UK recognised bodies
As Published: 2007
REC 4.2 The supervisory relationship with UK recognised bodies
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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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CASS 5.8 Safe keeping of client's documents and other assets
As Published: 2010
CASS 5.8 Safe keeping of client's documents and other assets
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EG 12.3 Criminal prosecutions in cases of market abuse
As Published: 2016
EG 12.3 Criminal prosecutions in cases of market abuse
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COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
As Published: 2010
COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
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DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?
As Published: 2008
DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?
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IFPRU 4.8 Internal ratings based approach: own estimates of exposure at default (EAD)
As Published: 2014
IFPRU 4.8 Internal ratings based approach: own estimates of exposure at default (EAD)
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MCOB 2.3 Inducements: regulated mortgage contracts, home reversion plans and regulated sale and rent back agreements
As Published: 2004
MCOB 2.3 Inducements: regulated mortgage contracts, home reversion plans and regulated sale and rent back agreements
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SUP 10A.9 Significant management functions
As Published: 2014
SUP 10A.9 Significant management functions
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DTR 1B.1 Application and purpose (Corporate governance)
As Published: 2008
DTR 1B.1 Application and purpose (Corporate governance)
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