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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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SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
As Published: 2004
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
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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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SYSC 18.6 Whistleblowing obligations under MiFID and other EU legislation
As Published: 2017
SYSC 18.6 Whistleblowing obligations under MiFID and other EU legislation
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SYSC 4.3A Management body and nomination committee
As Published: 2014
SYSC 4.3A Management body and nomination committee
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CASS 11.11 Records, accounts and reconciliations
As Published: 2014
CASS 11.11 Records, accounts and reconciliations
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BIPRU 8.3 Scope and basic consolidation requirements for non-EEA sub-groups
As Published: 2006
BIPRU 8.3 Scope and basic consolidation requirements for non-EEA sub-groups
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FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
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MCOB 5A.4 Provision of a European Standardised Information Sheet (ESIS)
As Published: 2015
MCOB 5A.4 Provision of a European Standardised Information Sheet (ESIS)
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SUP 15.11 Notification of COCON breaches and disciplinary action
As Published: 2015
SUP 15.11 Notification of COCON breaches and disciplinary action
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MCOB 13.3 Dealing fairly with customers with a payment shortfall: policy and procedures
As Published: 2006
MCOB 13.3 Dealing fairly with customers with a payment shortfall: policy and procedures
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FEES 4.2 Obligation to pay periodic fees
As Published: 2006
FEES 4.2 Obligation to pay periodic fees
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EG 19.27 Alternative Investment Fund Managers Regulations 2013
As Published: 2016
EG 19.27 Alternative Investment Fund Managers Regulations 2013
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