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821 - 840 of 1814 items.
EG 2.15 Decision making in the context of regulatory enforcement action
As Published: 2016
EG 2.15 Decision making in the context of regulatory enforcement action
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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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MIPRU 3.2 Professional indemnity insurance requirements
As Published: 2006
MIPRU 3.2 Professional indemnity insurance requirements
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SUP 15.10 Reporting suspicious transactions or orders (market abuse)
As Published: 2005
SUP 15.10 Reporting suspicious transactions or orders (market abuse)
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COBS 6.1 Information about the firm and compensation information (non-MiFID provisions)
As Published: 2007
COBS 6.1 Information about the firm and compensation information (non-MiFID provisions)
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SUP 10A.15 References and accurate information
As Published: 2016
SUP 10A.15 References and accurate information
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