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REC 4.2 The supervisory relationship with UK recognised bodies
As Published: 2007
REC 4.2 The supervisory relationship with UK recognised bodies
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CASS 9.3 Prime brokerage agreement disclosure annex
As Published: 2010
CASS 9.3 Prime brokerage agreement disclosure annex
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MIPRU 4.2 Capital resources requirements
As Published: 2006
MIPRU 4.2 Capital resources requirements
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COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
As Published: 2006
COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
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REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
As Published: 2007
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
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SUP 16.22 Reporting under the Payment Accounts Regulations
As Published: 2016
SUP 16.22 Reporting under the Payment Accounts Regulations
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DISP 1.1A Complaints handling requirements for MiFID complaints
As Published: 2017
DISP 1.1A Complaints handling requirements for MiFID complaints
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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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