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MAR 5A.5 Systems and controls for algorithmic trading
As Published: 2017
MAR 5A.5 Systems and controls for algorithmic trading
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PERG 8.32 Arranging deals in investments
As Published: 2017
PERG 8.32 Arranging deals in investments
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CONC App 1.4 Exemption for high net worth borrowers and hirers and exemption relating to businesses
As Published: 2014
CONC App 1.4 Exemption for high net worth borrowers and hirers and exemption relating to businesses
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PERG 8.17A Financial promotions concerning insurance distribution activities
As Published: 2018
PERG 8.17A Financial promotions concerning insurance distribution activities
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CASS 6.6 Records, accounts and reconciliations
As Published: 2014
CASS 6.6 Records, accounts and reconciliations
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COBS 4.7 Direct offer financial promotions
As Published: 2007
COBS 4.7 Direct offer financial promotions
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BIPRU 14.2 Calculation of the capital requirement for CCR
As Published: 2006
BIPRU 14.2 Calculation of the capital requirement for CCR
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PERG 8.17-A Financial promotions concerning consumer credit and consumer hire
As Published: 2014
PERG 8.17-A Financial promotions concerning consumer credit and consumer hire
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CONC 6.8 Post contract business practices: credit brokers
As Published: 2014
CONC 6.8 Post contract business practices: credit brokers
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COBS 4.5 Communicating with retail clients (non-MiFID provisions)
As Published: 2008
COBS 4.5 Communicating with retail clients (non-MiFID provisions)
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PERG 10.4A The application of EU Directives
As Published: 2006
PERG 10.4A The application of EU Directives
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PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
As Published: 2012
PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
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CASS 1.4 Application: particular activities
As Published: 2007
CASS 1.4 Application: particular activities
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