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REC 3.20 Disciplinary action relating to members
As Published: 2013
REC 3.20 Disciplinary action relating to members
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MAR 7A.3 Requirements for algorithmic trading
As Published: 2017
MAR 7A.3 Requirements for algorithmic trading
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EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)
As Published: 2016
EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)
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REC 5.1 Introduction and legal background
As Published: 2011
REC 5.1 Introduction and legal background
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EG 16.3 Applications under section 329(3) for variation or revocation of disapplication orders
As Published: 2016
EG 16.3 Applications under section 329(3) for variation or revocation of disapplication orders
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DTR 2.2 Disclosure of inside information
As Published: 2016
DTR 2.2 Disclosure of inside information
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MIPRU 2.2 Allocation of the responsibility for insurance distribution activity or MCD credit intermediation activity
As Published: 2007
MIPRU 2.2 Allocation of the responsibility for insurance distribution activity or MCD credit intermediation activity
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COLL 11.3 Co-ordination and information exchange for master and feeder UCITS
As Published: 2013
COLL 11.3 Co-ordination and information exchange for master and feeder UCITS
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REC 2.8 Settlement and clearing facilitation services
As Published: 2004
REC 2.8 Settlement and clearing facilitation services
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SYSC 4.3 Responsibility of senior personnel
As Published: 2007
SYSC 4.3 Responsibility of senior personnel
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