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REC 2.5 Systems and controls, algorithmic trading and conflicts
As Published: 2004
REC 2.5 Systems and controls, algorithmic trading and conflicts
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SUP 10C.16 References and accurate information
As Published: 2016
SUP 10C.16 References and accurate information
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COBS 18.5 Residual CIS operators and small authorised UK AIFMs
As Published: 2007
COBS 18.5 Residual CIS operators and small authorised UK AIFMs
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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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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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FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)
As Published: 2006
FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)
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SUP 10A.14 Changes to an FCA-approved person's details
As Published: 2014
SUP 10A.14 Changes to an FCA-approved person's details
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