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REC 3.4 Members of the management body and internal organisation
As Published: 2007
REC 3.4 Members of the management body and internal organisation
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EG 19.34 Markets in Financial Instruments Regulations 2017
As Published: 2017
EG 19.34 Markets in Financial Instruments Regulations 2017
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BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives
As Published: 2007
BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives
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LR 6.3 Revenue earning track record requirement
As Published: 2017
LR 6.3 Revenue earning track record requirement
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COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
As Published: 2007
COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
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CREDS 7.1 Application, purpose and interpretation
As Published: 2011
CREDS 7.1 Application, purpose and interpretation
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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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SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?
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COBS 2.2 Information disclosure before providing services (other than MiFID and insurance distribution)
As Published: 2008
COBS 2.2 Information disclosure before providing services (other than MiFID and insurance distribution)
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COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS
As Published: 2017
COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS
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CASS 11.3 Responsibility for CASS operational oversight
As Published: 2015
CASS 11.3 Responsibility for CASS operational oversight
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PR 5.5 Persons responsible for a prospectus
As Published: 2012
PR 5.5 Persons responsible for a prospectus
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