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REC 3.13 Delegation of relevant functions
As Published: 2011
REC 3.13 Delegation of relevant functions
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FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
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PERG 4.8 Administering a regulated mortgage contract
As Published: 2008
PERG 4.8 Administering a regulated mortgage contract
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SYSC 19A.1 General application and purpose
As Published: 2010
SYSC 19A.1 General application and purpose
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MAR 5A.10 Pre-trade transparency requirements for non-equity instruments: form of waiver
As Published: 2017
MAR 5A.10 Pre-trade transparency requirements for non-equity instruments: form of waiver
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SUP 13.8 Changes of details: provision of notices to the appropriate UK regulator
As Published: 2001
SUP 13.8 Changes of details: provision of notices to the appropriate UK regulator
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EG 2.5 Cases where other authorities have an interest
As Published: 2016
EG 2.5 Cases where other authorities have an interest
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APER 3.2 Factors relating to all Statements of Principle
As Published: 2015
APER 3.2 Factors relating to all Statements of Principle
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EG 5.1 Settlement and the FCA – an overview
As Published: 2016
EG 5.1 Settlement and the FCA – an overview
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MAR 7A.4 Requirements when providing direct electronic access
As Published: 2017
MAR 7A.4 Requirements when providing direct electronic access
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SUP 13A.6 Which rules will an incoming EEA firm be subject to?
As Published: 2007
SUP 13A.6 Which rules will an incoming EEA firm be subject to?
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REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
As Published: 2004
REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
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LR 17.3 Requirements with continuing application
As Published: 2006
LR 17.3 Requirements with continuing application
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PERG 15.4 Small payment institutions, agents and exempt bodies
As Published: 2011
PERG 15.4 Small payment institutions, agents and exempt bodies
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