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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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DEPP 6.5A The five steps for penalties imposed on firms
As Published: 2010
DEPP 6.5A The five steps for penalties imposed on firms
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MCOB 6.9 Regulated sale and rent back agreements
As Published: 2010
MCOB 6.9 Regulated sale and rent back agreements
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SUP 13A.5 EEA firms providing cross border services into the United Kingdom
As Published: 2009
SUP 13A.5 EEA firms providing cross border services into the United Kingdom
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CASS 1A.3 Responsibility for CASS operational oversight
As Published: 2010
CASS 1A.3 Responsibility for CASS operational oversight
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SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order
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COBS 6.1E Platform services: platform charges and using a platform service for advising
As Published: 2011
COBS 6.1E Platform services: platform charges and using a platform service for advising
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CONC 4.2 Pre-contract disclosure and adequate explanations
As Published: 2014
CONC 4.2 Pre-contract disclosure and adequate explanations
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