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SUP 10A.9 Significant management functions
As Published: 2014
SUP 10A.9 Significant management functions
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MCOB 1.6 Distinguishing regulated mortgage contracts and regulated credit agreements
As Published: 2004
MCOB 1.6 Distinguishing regulated mortgage contracts and regulated credit agreements
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CASS 1A.3 Responsibility for CASS operational oversight
As Published: 2010
CASS 1A.3 Responsibility for CASS operational oversight
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EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling
As Published: 2016
EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling
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SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
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SUP 3.10 Duties of auditors: notification and report on client assets
As Published: 2004
SUP 3.10 Duties of auditors: notification and report on client assets
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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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EG 20.2 Information gathering and investigation powers
As Published: 2016
EG 20.2 Information gathering and investigation powers
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SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation
As Published: 2001
SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation
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SUP 15.6 Inaccurate, false or misleading information
As Published: 2005
SUP 15.6 Inaccurate, false or misleading information
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