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DTR 1.3 Information gathering and publication
As Published: 2016
DTR 1.3 Information gathering and publication
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COBS 11.2 Best execution for AIFMs and residual CIS operators
As Published: 2007
COBS 11.2 Best execution for AIFMs and residual CIS operators
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MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral
As Published: 2007
MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral
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REC 4.2E Information: compliance of UK recognised bodies with EU requirements
As Published: 2007
REC 4.2E Information: compliance of UK recognised bodies with EU requirements
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MAR 5AA.1 Operation of a multilateral system as an MTF or OTF
As Published: 2017
MAR 5AA.1 Operation of a multilateral system as an MTF or OTF
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PERG 8.20 Additional restriction on the promotion of collective investment schemes
As Published: 2005
PERG 8.20 Additional restriction on the promotion of collective investment schemes
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SYSC 21.1 Risk control: guidance on governance arrangements
As Published: 2010
SYSC 21.1 Risk control: guidance on governance arrangements
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SUP 10A.8 Systems and controls functions
As Published: 2013
SUP 10A.8 Systems and controls functions
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COCON 4.2 Specific guidance on senior manager conduct rules
As Published: 2015
COCON 4.2 Specific guidance on senior manager conduct rules
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COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products
As Published: 2007
COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products
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SUP App 2.15 Run-off plans for closed with-profits funds
As Published: 2005
SUP App 2.15 Run-off plans for closed with-profits funds
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DTR 8.5 Supervision of primary information providers
As Published: 2014
DTR 8.5 Supervision of primary information providers
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